Stinson Leonard Street - Dodd-Frank and the Jobs Act

U.S. House of Representatives Pass Bill Seeking to Raise Disclosure Thresholds under SEC Rule 701

A bill (H.R. 1675) seeking to increase the information disclosure threshold under SEC Rule 701 passed the U.S. House of Representatives on February 3 by a vote of 265 to 159. Rule 701 exempts from registration issuer sales or…more
| Commercial Law & Contracts, Elections & Politics, Securities Law

Three Bills Proposing Amendments to the Federal Securities Laws Gain Traction in Congress

The U.S. House of Representatives passed three bills on February 1, 2016 that propose changes to the federal securities laws, including the Securities Act of 1933 (’33 Act) and Securities Exchange Act of 1934 (’34 Act)…more
| Commercial Law & Contracts, Elections & Politics, Securities Law

Yahoo! Compensation Litigation – History May Not Repeat Itself but it Often Rhymes

The Delaware Court of Chancery has issued an opinion on a Section 220 demand made against Yahoo! No complaint has yet been filed, and although Vice Chancellor Laster speculates on some inferences that can be drawn, no one has…more
| Commercial Law & Contracts, Communications & Media Law, Securities Law

CFPB and DOJ Continue Aggressive and Controversial Enforcement Efforts Against Indirect Auto Lenders with Enforcement Action Against Toyota Motor Credit Corporation

On February 2, 2016, the Consumer Financial Protection Bureau (CFPB) and the Department of Justice (DOJ) announced a joint enforcement action against indirect auto lender Toyota Motor Credit Corporation (Toyota Motor Credit) for…more
| Civil Rights, Commercial Law & Contracts, Consumer Protection, Finance & Banking

House of Representatives Issues Part II of Report Criticizing CFPB’s Auto Lending Enforcement Efforts

On January 20, 2016, Republican members of the House of Representatives’ Financial Services Committee issued a report titled Unsafe at Any Bureaucracy, Part II: How the Bureau of Consumer Financial Protection Removed Anti-Fraud…more
| Civil Rights, Consumer Protection, Finance & Banking

CFPB Releases Monthly Complaint Report for December 2015 and Highlights New York Metro Area Complaints

On January 28, 2016, the Consumer Financial Protection Bureau (CFPB) released its latest Monthly Complaint Report for December 2015, which provides an overview of three-month trends in consumer complaints. This Monthly Report…more
| Consumer Protection, Finance & Banking

House to (Again) Consider Bill to Exempt M&A Brokers from Exchange Act Registration

A bill that would provide a federal statutory exemption from the broker-dealer registration requirements under Section 15(a) of the Exchange Act for certain so called “M&A brokers” has been placed on the calendar for…more
| Commercial Law & Contracts, Elections & Politics, Mergers & Acquisitions, Securities Law

DTCC Explores Blockchain Technology

The Depository Trust & Clearing Corporation, or DTCC, is integrally involved with settlement of trades in public company stocks. It has issued a white paper examining the use of blockchain technology to settle securities trades…more
| Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

House Committee on Financial Services Approves Bill Exempting Smaller Reporting Companies from Filing Financial Data in XBRL

On January 28, 2016, the House Committee on Financial Services reported favorably on the Small Company Disclosure Simplification Act. The bill has been scheduled for consideration by the full U.S. House of Representatives. …more
| Business Organizations, Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Crowdfunding Portals Begin to Register With the SEC

The SEC registration process for Title III crowdfunding portals was recently commenced. So far we are aware of one Form Funding Portal that has been filed to begin the registration process…more
| Commercial Law & Contracts, Communications & Media Law, Finance & Banking, Securities Law

Disclosure Settlement Rejected in Trulia Merger Litigation

Chancellor Bouchard of the Delaware Court of Chancery rejected a disclosure settlement in In Re Trulia, Inc. Stockholder Litigation. The Chancellor concluded the terms of the proposed settlement were not fair or reasonable…more
| Civil Procedure, Civil Remedies, Commercial Law & Contracts, Mergers & Acquisitions, Securities Law

CFPB’s First Public Enforcement Action of 2016 is Against Colorado Auto Sales Company

On January 21, 2016, the Consumer Financial Protection Bureau (CFPB) announced an administrative enforcement action against Y King S Corp., d/b/a Herbies Auto Sales (Herbies), a buy-here pay-here used car dealer located in…more
| Consumer Protection, Finance & Banking

Regulators Change Bank Audit Committee Duties as Audit Season Begins

The Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency issued an advisory to indicate their support for the principles and expectations…more
| Finance & Banking

SEC Permits Shareholder Proposal for Favoring Repurchases over Dividends to Move Forward

The SEC has denied no-action relief to exclude the following shareholder proposal submitted to several companies by Jonathan Kalodimos: Resolved: Shareholders of ITT Corporation ask the board of directors to adopt and issue…more
| Commercial Law & Contracts, Securities Law

Settlement with an Activist Investor is not a Defensive Measure

A recent case decided by the Delaware Court of Chancery, In Re Ebix, Inc., held settlement with an activist investor, Barrington Capital Group, L.P. was not a defensive measure subject to scrutiny under Unocal. Ebix entered…more
| Commercial Law & Contracts, Securities Law
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Contact: Steve Quinlivan

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