Stinson Leonard Street

150 South Fifth Street Suite 2300
Minneapolis, MN 55402, United States

  • 612.335.7222
  • 612.335.1657

CFTC Grants Family Offices Relief From Registration as Commodity Trading Advisors

The CFTC previously granted family offices no-action relief from registration as commodity pool operators. That letter did not provide an exemption from registration as a commodity trading advisor. However, the CFTC has also…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CFTC Proposes Important Clarification on Forward Contracts with Embedded Volumetric Optionality

The CFTC has published an important proposed clarification to its seven element test regarding forward contracts with embedded volumetric optionality (EVO). The proposed interpretation provides that a contract for deferred…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

ISS 2015 Proxy Voting Guidelines Include New "Scorecard" Evaluation Policy for Equity Plan Proposals

This month, Institutional Shareholder Services Inc. (ISS) issued its 2015 Proxy Voting Guidelines for the upcoming proxy season, which include the new "Equity Plan Scorecard." As stated by ISS in connection with its October 15,…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CMS Changes Sunshine Rules for CME, Revises List of Data Elements to be Reported

The Centers for Medicare & Medicaid Services (CMS) published a final rule with comment period addressing, among other issues, changes to the reporting and data collection requirements imposed upon “applicable manufacturers”…more
| Health, Science, Computers, & Technology

NASDAQ Proposes to Stop Automatic Delisting for Failure to Hold Annual Meeting

Under Current NASDAQ Rule 5810(c)(1), NASDAQ staff is required to issue a delisting determination, subjecting the company to immediate suspension and delisting, if a company fails to solicit proxies and hold its annual meeting…more
| Commercial Law & Contracts, Securities Law

New Survey Dispels Common Myths About Arbitration

Did you know that 87% of experienced arbitrators report *always* trying to follow applicable law in rendering an award? That will come as a surprise to many critics who like to complain that arbitrators do not adhere to…more
| Alternative Dispute Resolution (ADR), Electronic Discovery, Labor & Employment Law

CFPB Takes Action Against ‘Buy-Here, Pay-Here’ Auto Dealer

The CFPB took its first action against a “buy-here, pay-here” car dealer. The CFPB alleged that the dealer, DriveTime, harmed consumers by making harassing debt collection calls and providing inaccurate credit information to…more
| Civil Remedies, Finance & Banking, Consumer Protection

Do I Need to Update My D&O Questionnaire for 2015?

One of the most frequent questions we get this time of year is issuers asking whether there are any needed updates to director and officer questionnaires. Necessary modifications are usually driven by changes to stock exchange…more
| Commercial Law & Contracts, Securities Law

SEC Charges Audit Committee Chair for Failing to Investigate Red Flags

The SEC recently brought an enforcement action against the Chairman of the Audit Committee of AgFeed Industries, Inc. The Director of the SEC’s Division of Enforcement, called the AgFeed action “a cautionary tale of what happens…more
| Finance & Banking, Securities Law

SEC Describes Profiles of Successful Whistleblowers

In its 2014 Report to Congress on the Dodd-Frank Whistleblower Program, the SEC described the profile of successful whistleblowers. Because the SEC must keep the identity of whistleblowers confidential, it can only describe…more
| Civil Rights, Labor & Employment Law, Securities Law

Panel to Rehear Conflict Minerals Case

The United States Court of Appeals for the District of Columbia has granted the petition for a panel rehearing (as opposed to an en banc rehearing) in the conflict minerals case. The court asked the parties to file briefs which…more
| Civil Procedure, Commercial Law & Contracts, Communications & Media Law, Constitutional Law, Securities Law

No-Action Relief for Social Impact Financing Finder

The SEC issued a no-action letter on November 13, 2014 to Social Finance, Inc., indicating that it would not recommend enforcement action against Social Finance for its conduct as an intermediary in social impact bond (SIB)…more
| Finance & Banking, Securities Law

Attention All You Procrastinators!

The Centers for Medicare and Medicaid Services (CMS) has postponed to 11:59 pm on December 5, 2014, the deadline for health insurance issuers and self funded plans to submit their annual enrollment count for the transitional…more
| Health

Revealing Whistleblower’s Identity is Retaliation

The United States Court of Appeals for the Fifth Circuit held that revealing a whistleblower’s identity is prohibited retaliation under the Sarbanes-Oxley Act in Halliburton, Inc. v. Administrative Review Board, United States…more
| Administrative Law, Civil Remedies, Civil Rights, Labor & Employment Law, Securities Law

CFPB Finds Violation of Loan Originator Compensation Rule

The CFPB and Franklin Loan Corporation have asked a federal court to approve a consent order regarding alleged violations by Franklin Loan of the loan originator compensation rule. Franklin Loan did not admit or deny the…more
| Finance & Banking, Consumer Protection, Real Estate - Residential
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Areas of Practice
  • Agriculture
  • Alternative Dispute Resolution (ADR)
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  • Appellate Practice
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Other U.S. Locations
  • D.C.
  • Minnesota
  • North Dakota
Number of Attorneys

100+ Attorneys

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