Stinson Leonard Street

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

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CFTC Proposes Margin Rules for Uncleared Swaps

Following bank regulators’ re-proposal of margin requirements for uncleared swaps by bank swap dealers (bank SDs) and bank major swap participants (bank MSPs), the CFTC has re-proposed its own very similar requirements for…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

NAM Says No Need for En Banc Rehearing in Conflict Minerals Case

Earlier, the United States Court of Appeals for the District of Columbia Circuit ordered the appellants in the conflict minerals case, NAM et al, to file a response to the SEC’s and Amnesty International’s petition for an en…more
| Civil Procedure, Securities Law

SEC Examinations of Newly Registered Private Fund Advisers Wind Down

In testimony before Congress, SEC Chair Mary Jo White noted that she anticipates SEC staff will conclude a two-year initiative to conduct focused, risk-based exams of newly registered private fund advisers in October 2014. …more
| Finance & Banking, Securities Law

Arbitration Agreement On Barnes & Noble’s Website Not Enforceable

In a case between an on-line customer and Barnes & Noble, the Ninth Circuit recently refused to enforce the arbitration agreement found in the website’s “Terms of Use.” Nguyen v. Barnes & Noble Inc., __ F.3d__, 2014 WL 4056549…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Communications & Media Law

SEC Cops Bust 36 for Failure to File Ownership Reports

The SEC charged 29 officers, directors, or major shareholders for violating federal securities laws requiring them to promptly report information about their holdings and transactions in company stock. Seven publicly-traded…more
| Criminal Law, Securities Law

Bank Regulators Propose Relaxed Margin Requirements for Corporate End Users of Uncleared Swaps

Five federal agencies have taken a second stab at a proposed rule to establish margin requirements for swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants as required…more
| Finance & Banking, Consumer Protection, Securities Law

CFTC Eliminates Barrier to Hedge Funds Using JOBS Act General Solicitation

Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from exemptions related to CPO (commodity pool operator) regulations administered by the…more
| Finance & Banking, Securities Law

Missouri Supreme Court Redefines Adequate Consideration for Enforcing Arbitration Agreements

Continued at-will employment is no longer sufficient consideration to enforce arbitration provisions in Missouri. In Baker v. Bristol Care, a recent decision of the Missouri Supreme Court, a slim majority of the Court struck…more
| Alternative Dispute Resolution (ADR), Labor & Employment Law

SEC Proposes Communications Exemption for Certain Security Based Swaps

The Dodd-Frank Act amended the Securities Act of 1933 and the Securities Exchange Act of 1934 to include “security-based swaps” in the definition of “security” for purposes of those statutes. As a result, “security-based…more
| Securities Law

Good News and Bad News: Commerce Department Publishes List of Conflict Minerals Processing Facilities

The good news is the Commerce Department published a list of ”all known conflict mineral processing facilities worldwide” as required by section 1502(d)(3)(C) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. …more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Whistleblowers Fight Over SEC Award

It was predictable someone would submit a phony whistleblower claim, and I suppose it was predictable there would be a fight over an actual award, like co-workers diving for a share of proceeds from an office pool lottery…more
| Civil Procedure, Civil Remedies, Labor & Employment Law, Securities Law

SEC Denies Confidentiality Request for Form 13F

The SEC has denied an institution manager a confidential treatment request related to Form 13F because the request had only conclusory allegations. According to the SEC..…more
| Securities Law

OCC Specifies ‘Heightened Expectations’ for Board of Director Oversight Responsibilities for Large Banks

The Office of the Comptroller of the Currency, or OCC, has adopted guidelines, issued as an appendix to its safety and soundness standards regulations, establishing minimum standards for the design and implementation of a risk…more
| Finance & Banking, International Law & Trade

Seventh Circuit Finds Tribal Arbitration Is Unreasonable and Unconscionable

In a victory for advocates who worry that the odds are impossibly stacked against consumers in some arbitral fora, the Seventh Circuit found that a class of borrowers did not have to proceed with arbitration conducted by the…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Commercial Law & Contracts, Conflict of Laws, Indigenous Peoples

SEC Fights Off Phony Whistleblower Submissions

As might have been expected, some will go to great lengths to claim they are entitled to a whistleblower reward based on suspect evidence. An example is this Commission order denying a whistleblower award to one person, while…more
| Civil Procedure, Labor & Employment Law, Securities Law
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