Stinson Leonard Street - Dodd-Frank and the Jobs Act

SEC’s OCIE Announces Cybersecurity Examinations Of Broker-Dealers And...

The SEC’s Office of Compliance Inspections and Examinations, or OCIE, previously announced that its 2014 Examination Priorities included a focus on technology, including cybersecurity preparedness. OCIE has issued a Risk Alert…more

| Commercial Law & Contracts, Finance & Banking, Privacy, Science,...

Mandate Withheld In Conflicts Minerals Case

In a little known action, the Clerk of Court of the Unites States Court of Appeals for the District of Columbia issued an order in the conflicts minerals case to withhold issuance of a mandate until seven days after disposition…more

| Civil Procedure, Commercial Law & Contracts, Energy & Utilities,...

SEC Lays Out Road Map On Disclosure Reform

Keith F. Higgins, Director, SEC Division of Corporation Finance, recently laid out the SEC staff’s approach to the much discussed disclosure reform initiative. Highlights are as follows..…more

| Commercial Law & Contracts, Securities Law

New C&DIs Contemplate Intrastate Crowdfunded Offerings

This week the SEC released three new Compliance and Disclosure Interpretations (C&DIs) relating to Rule 147, which applies to securities that exempt from registration pursuant to Section 3(a)(11) of the Securities Act because…more

| Commercial Law & Contracts, Communications & Media Law, Finance &...

Proposed Minnesota Public Benefit Corporation Legislation

A bill has been introduced to bring public benefit corporations to Minnesota. The public benefit corporation is a relatively recent legal innovation that occupies a hybrid position between a traditional corporation and a…more

| Business Organizations, Commercial Law & Contracts, Nonprofit Law

A Bad Turn For Reg A+ And Reg D?

SEC Commissioner Luis A. Aguilar gave a speech to an annual conference of the North American Securities Administrators Association, otherwise known as NASAA. On the issue of Reg A+ preemption of state law, the Commissioner…more

| Commercial Law & Contracts, Conflict of Laws, Finance & Banking,...

SEC Issues More FAQs On Conflict Minerals

The SEC has issued nine additional frequently asked questions, or FAQs, on the SEC’s conflict reporting rules. Some of the highlights are..…more

| Commercial Law & Contracts, Energy & Utilities, International Law &...

OIG Finds Deficiencies In CFPB Supervisory Activities

The Office of Inspector General of the Board of Governors of the Federal Reserve System conducted an initial evaluation to assess the operational efficiency and effectiveness of the Consumer Financial Protection Bureau’s…more

| Consumer Protection, Finance & Banking

Private Company GAAP Arrives

Two GAAP alternatives for private companies have been released by FASB. The alternatives were created by the Private Company Council, or PCC…more

| Commercial Law & Contracts, Finance & Banking

How To Make A Claim Against The Madoff Victim Fund And Other Information

The Madoff Victim Fund, or MVF, is the vehicle that the United States Department of Justice, or DOJ, will use to distribute more than $4 billion in assets forfeited to the United States to victims of the crimes involving Madoff…more

| Civil Remedies, Criminal Law, Finance & Banking, Securities Law

AICPA Describes Audit Procedures For Conflict Minerals Audit

The AICPA has issued additional guidance regarding the independent private-sector audit, or IPSA, which is required in some circumstances under the conflicts minerals rules. (Note that AICPA’s guidance is only applicable to…more

| Energy & Utilities, Finance & Banking, Securities Law

OFR Releases Interagency Data Inventory

The Office of Financial Research, or OFR, has released the Interagency Data Inventory of data that member agencies of the Financial Stability Oversight Council collect from industry. The Interagency Data Inventory project is an…more

| Finance & Banking, Science, Computers, & Technology

SEC May Discontinue News Digest

The indications are the SEC may discontinue publication of its time-honored daily News Digest. It has not been published since mid-December…more

| Securities Law

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