Stinson Leonard Street

Vanishing Regulation A+ Filings

The initial filings seemed to be of low quality. I feel for the SEC staff, because it appears they will have their hands full as people lob in poorly conceived filings. It appears they will have to do more babysitting than…more
| Finance & Banking, Securities Law

SEC Charges KKR With Misallocating Broken Deal Expenses

Everyone knew the SEC would pursue a marquee-name private equity sponsor for misallocating expenses. It finally happened, with KKR settling charges for misallocating “broken deal” expenses. Charges against others are likely to…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Construction Alert: Don't Overlook the Importance of Additional Insured Endorsements

Whether you are giving one to someone else or asking for one, you need to use additional insured endorsements (AIE) that give you as much protection as possible and that meet the promises you have made in your contracts. A…more
| Commercial Law & Contracts, Construction Law, Insurance

CFPB Publishes Over 7,700 Consumer Complaint Narratives About Financial Companies

The CFPB has gone live with an enhanced customer complaint data base. It now includes over 7,700 consumer descriptions of alleged problems they are facing with financial companies concerning mortgages, bank accounts, credit…more
| Finance & Banking, Consumer Protection, Real Estate - Residential

SEC Meeting to Consider Compensation Clawback Proposal

The SEC has announced an open meeting to consider clawback of executive compensation under Section 954 of the Dodd-Frank Act to be held on July 1, 2015. According to the notice of the meeting, the SEC will consider whether to…more
| Commercial Law & Contracts, Finance & Banking, Consumer Protection, Securities Law

SEC Proposes Significant Reporting Requirement Amendments to Form ADV

On May 20, 2015, the Securities and Exchange Commission (SEC) released several proposals, "Amendments to Form ADV and Investment Advisers Act Rules," that would require investment advisers to provide additional information on…more
| Commercial Law & Contracts, Securities Law

CFPB Proposes to Extend Know Before You Owe Rule Compliance to October

On June 24 the CFPB published its proposed rule for extending the effective date for implementation of the Know Before You Owe Rule to October 3, 2015. The public has until July 7..…more
| Commercial Law & Contracts, Consumer Protection, Finance & Banking

Circuit Split Persists Regarding Whether Arbitrator’s “Manifest Disregard” Of Law Can Vacate Arbitration Award

Three years ago, this blog catalogued where all the federal circuits stood on the issue of whether an arbitration award that “manifestly disregarded the law” could be vacated under the Federal Arbitration Act, as that is not one…more
| Alternative Dispute Resolution (ADR), Civil Procedure

SEC Publishes 11 Regulation A+ CD&Is

The SEC has published 11 Compliance and Disclosure Interpretations related to Regulation A+ — numbered 182.01 through 182.11 under Securities Act Rules. Highlights are: - Twitter is allowed for testing the waters! …more
| Commercial Law & Contracts, Conflict of Laws, Finance & Banking, Mergers & Acquisitions, Securities Law

First Regulation A+ Offering Document Appears on EDGAR

Perhaps the first Regulation A+ offering document has appeared on EDGAR. According to the documents it is a Tier 2 offering for up to $50,000,000. The offering circular states the offering commenced on June 19, 2015. The…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Real Estate - Residential, Securities Law

SEC Exams to Focus on Sales of Retirement Products

The SEC Office of Compliance Inspections and Examinations, or OCIE, has launched a multi-year Retirement-Targeted Industry Reviews and Examinations (ReTIRE) Initiative. OCIE is focusing on retirement-based savings in…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Provides Guidance on Definition of “Spouse” and “Marriage”

The SEC has provided guidance on the definition of “spouse” and “marriage” in the wake of United States v Windsor. That case held Section 3 of the Defense of Marriage Act was unconstitutional. As a result the SEC will…more
| Commercial Law & Contracts, Constitutional Law, Securities Law

Hawaii Finds Arbitration Agreement With “Severe Limitations on Discovery” is Unconscionable

Hawaii issued a bold arbitration decision this month. It applied its state contract law to conclude that the parties did not form a clear arbitration agreement, but even if they did, it was unconscionable because it prohibited…more
| Alternative Dispute Resolution (ADR), Civil Procedure, Commercial Law & Contracts, Real Estate - Residential

Gallagher: SEC Should Not Alienate Chief Compliance Officers

Outgoing SEC Commissioner Daniel M. Gallagher explained his dissenting votes in two SEC enforcement actions against Chief Compliance Officers. Mr. Gallagher explained that in both instances, the Commission’s order states that…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

CFPB Plans Delay of Know Before You Owe Rule

Residential mortgage originators struggling to meet the August 1, 2015 implementation date for the new Truth-in-Lending RESPA Integrated Disclosure Rule received a reprieve yesterday. CFPB Director Richard Cordray issued…more
| Consumer Protection, Finance & Banking, Real Estate - Residential
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Contact

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

  • 612.335.7222
  • 612.335.1657

Areas of Practice
  • Agriculture
  • Alternative Dispute Resolution (ADR)
  • Antitrust & Trade Regulation
  • Appellate Practice
  • Art, Entertainment, & Sports Law
  • Bankruptcy
  • Business Organizations
  • Business Torts
  • Class Action
  • Commercial Law & Contracts
  • Construction Law
  • Debtor/Creditor
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  • Environmental Law
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  • Government
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  • Immigration Law
  • Indigenous Peoples
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  • Products Liability
  • Real Estate
  • Science, Computers, & Tech
  • Securities Law
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  • Worker’s Compensation
  • Zoning, Planning & Land Use
See more
Locations
Other U.S. Locations
  • D.C.
  • Minnesota
  • North Dakota
Number of Attorneys

100+ Attorneys

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