Stinson Leonard Street - Dodd-Frank and the Jobs Act

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

Contact: Steve Quinlivan

  • 612.335.7076
  • 612.335.1657

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 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

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

NYC Pension Fund Submits 75 Proxy Access Proposals

New York City Comptroller Scott M. Stringer, on behalf of the $160 billion New York City Pension Funds, has submitted proxy access shareowner proposals to 75 companies. The proposals request a bylaw to give shareowners who meet…more
| Commercial Law & Contracts, Labor & Employment Law, Environmental Law, Finance & Banking

SEC Finds Crowdfunding Website a General Solicitation and Violated Broker-Dealer Rules

In a settled enforcement action, the SEC alleged the defendant failed to implement procedures reasonably designed to prevent U.S. persons from accessing and investing in securities through its crowdfunding website. The…more
| Communications & Media Law, Finance & Banking, International Law & Trade, Securities Law

SEC Snares 10 for 8-K Violations

The SEC settled actions with ten companies for alleged Form 8-K violations. The investigation centered on failure to file Form 8-K when shares of common stock are sold in transactions that are not registered with the SEC under…more
| Commercial Law & Contracts, Securities Law

New Surprises in Final 2015 ISS Policy Updates

ISS has issued its 2015 policy updates. Unilateral Bylaw/Charter Amendments - This policy is new stand-alone policy. Previously these matters were evaluated under the ISS governance failure policy. ISS maintains…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

OIG Outlines Major CFPB Management Challenges

The Office of Inspector General, or OIG, of the Board of Governors of the Federal Reserve System has issued its first listing of major management challenges facing the CFPB. These challenges represent what OIG believes to be the…more
| Administrative Law, Finance & Banking, Consumer Protection

Providing Audited Financial Statements Late Leads to Charges of Custody Rule Violations

The SEC announced charges against an investment advisory firm and three of its top officials for violating the “custody rule” that requires firms to follow certain procedures when they control or have access to client money or…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Regulators Approve Securitization Risk Retention Rule

Six federal agencies approved a final rule requiring sponsors of securitization transactions to retain risk in those transactions. The final rule implements the risk retention requirements in the Dodd-Frank Wall Street Reform…more
| Commercial Law & Contracts, Finance & Banking, Real Estate - Residential, Securities Law

ISS Proposes New Methodology For Evaluating Equity Plan Proposals

A key component to evaluating whether to place an equity plan proposal in a proxy is whether or not ISS will support the plan. Accoding to ISS, while it has historically recommended against approximately 30 percent of equity…more
| Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law
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Areas of Practice
  • Energy & Utilities
  • Finance & Banking
  • Government
  • Insurance
  • Labor & Employment Law
  • Mergers & Acquisitions
  • Securities Law
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