Stinson Leonard Street - Dodd-Frank and the Jobs Act

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Firm Profile: Stinson Leonard Street
150 South Fifth Street
Suite 2300
Minneapolis, MN 55402, United States
Contact: Steve Quinlivan
Phone: 612.335.7076
Fax: 612.335.1657
Areas of Practice
  • Energy & Utilities
  • Finance & Banking
  • Government
  • Insurance
  • Labor & Employment Law
  • Mergers & Acquisitions
  • Securities Law
Locations
Other U.S. Locations
  • D.C.
  • Minnesota
  • North Dakota

CFTC Revises Record Keeping Requirements

The CFTC has issued final amendments to Regulation 1.31 which sets forth the form and manner in which all regulatory records must be kept by records entities. “Records entities” are persons required to keep records pursuant to…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

CFTC Revises Whistleblower Rule to Enhance Anti-Retaliation Protection

The CFTC has adopted final amendments to its whistleblower rules that will, among other things, strengthen the CFTC’s anti-retaliation protections for whistleblowers and enhance the process for reviewing whistleblower claims…more
 /  Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

Shareholder Dismisses Case with Prejudice that Sought to Block Amendment to Intel Stock Plan

As we noted here, a shareholder of Intel sought a preliminary and permanent injunction and any other appropriate relief with respect to a stockholder vote to approve the amendment and restatement of Intel’s 2006 equity incentive…more
 /  Civil Procedure, Civil Remedies, Commercial Law & Contracts, Science, Computers, & Technology, Securities Law

FASB Clarifies Accounting for Modifications of Equity Awards

The Financial Accounting Standards Board has issued an Accounting Standards Update (ASU 2017-09; Topic 718) to clarify the accounting for modifications to outstanding share-based payment awards such as stock options and…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Commissioner Wonders if SAFEs are Safe for Crowdfunding

In remarks at the Annual SEC/NASAA Conference, SEC Commissioner Michael S. Piwowar focused on the suitability and adequacy of disclosure of a security known as a “SAFE” that has been used in crowdfunding transactions. SAFE is an…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Accountant Speaks to Revenue Recognition

Sylvia E. Alicea, Professional Accounting Fellow, Office of the Chief Accountant, gave her views on implementation of the new revenue recognition standard at a conference dedicated to the topic…more
 /  Commercial Law & Contracts, Securities Law

SEC ALJ Lifts Reg A+ Suspension of Issuer

As we noted here, the SEC temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The SEC stated it temporarily suspended the offering because Med-X has not filed its annual report on Form 1-K as required by Rule…more
 /  Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Court Finds Fraud Carve Out Ambiguous in Stock Purchase Agreement

In EMSI Acquisition, Inc., v. Contrarian Funds, LLC et al, the Delaware Court of Chancery examined a fraud carve out from an indemnification cap and an action for confirmation of an auditors award on a purchase price adjustment…more
 /  Civil Procedure, Commercial Law & Contracts, Securities Law

Defendants in Stock Purchase Indemnification Action Entitled to Advancement under Bylaws

In Davis et al v. EMSI Holding Co., the Delaware Court of Chancery held that officers and directors of an acquired company were entitled to advancement under the acquired Company’s by-laws for expenses incurred in defending an…more
 /  Commercial Law & Contracts, Mergers & Acquisitions, Securities Law

CFTC Requests Public Input on Simplifying Rules

The CFTC voted to seek public input on simplifying and modernizing the Commission’s rules. The action is part of an initiative which has been dubbed “Project KISS.”…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

Understanding the New Lease Accounting Rules

The new lease accounting rules (Accounting Standards Update N0. 2016-02; Topic 842) will require the recognition of lease assets and lease liabilities for those leases classified as operating leases under existing GAAP. For…more
 /  Commercial Law & Contracts, Securities Law

CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports

The CFTC is proposing to amend its regulations regarding certain duties of chief compliance officers, or CCOs, of swap dealers, major swap participants and futures commission merchants, which are referred to as registrants. The…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

GAO Reports on 2015 Conflict Minerals Form SDs

GAO released an analysis of a generalizable sample of conflict minerals disclosures filed with SEC in 2015. The analysis found that an estimated 49 percent of companies in 2015 reported having determined whether the conflict…more
 /  Commercial Law & Contracts, International Law & Trade, Securities Law

Drafting Contracts under the New Revenue Recognition Standard

The new revenue recognition standards under GAAP (Accounting Standards Update 2014-09; Topic 606) will be applicable to public companies for annual reporting periods beginning after December 15, 2017. While much time and effort…more
 /  Commercial Law & Contracts, Securities Law

Fed Assesses First Penalty for Volcker Rule Violation

The Board of Governors of the Federal Reserve System has assessed its first penalty for violation of the Volcker Rule against Deutsche Bank AG. The Volker Rule required Deutsche Bank’s Chief Executive Officer to annually…more
 /  Commercial Law & Contracts, Consumer Protection, Finance & Banking, Securities Law
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