Stinson Leonard Street - Dodd-Frank and the Jobs Act

Not Necessary to “Boil the Ocean” in FCPA Internal Investigations

Assistant Attorney General Leslie R. Caldwell recently gave her views on the proper scope of internal investigations regarding FCPA matters. In her views she noted..…more
| Commercial Law & Contracts, International Law & Trade

Dodd-Frank Anti-Spoofing Statute Not Void for Vagueness For High Frequency Trader

In United States v. Coscia, the District Court for the Northern District of Illinois Eastern Division declined to dismiss an indictment for “spoofing” against a high frequency trader under 7 U.S.C. §§ 6c(a)(5)(C) and 13(a)(2)…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Spin-Offs and Successorship Clauses

In 2006, the media conglomerate News Corporation, referred to as Old News Corp, entered into a Settlement Agreement to settle stockholder litigation filed in Delaware in 2005. Subject to certain exceptions, the Settlement…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Fed Eases Small Bank M&A Rules

The Board of Governors of the Federal Reserve Board has modified its Small Bank Holding Company Policy Statement to facilitate the sale of smaller community banks. Under the final rule, a holding company with less than $1…more
| Business Organizations, Finance & Banking, Mergers & Acquisitions

CFTC Taking Action on Inaccurate Reporting

The Commodity Futures Trading Commission (CFTC) is increasingly taking action on inaccurate reporting by market participants. In the past year, the CFTC has entered into three settlements with market participants for filing…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CFTC Pushes Dodd-Frank Boundaries With Manipulation Case

In the first case of its kind, the CFTC has accused Kraft Food Groups, Inc. and former parent Mondelez Global LLC with manipulation pursuant to Section 6(c)(1) of the Commodities Exchange Act and Regulation 180.1 promulgated…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Finds Confidentiality Agreements Violates Whistleblower Rules

The SEC announced its first enforcement action against a company for using improperly restrictive language in confidentiality agreements with the potential to stifle the whistleblowing process…more
| Administrative Law, Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Securities Law

SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global Fixed Income, LLC (GFI) and received…more
| Administrative Law, Commercial Law & Contracts, Securities Law

SEC Brings Enforcement Action Related to Perks

The SEC charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to investors. It’s the second enforcement action in…more
| Administrative Law, Business Organizations, Commercial Law & Contracts, Securities Law

CFTC Provides Chief Compliance Officers Additional Time to Submit Annual Reports

The CFTC’s Division of Swap Dealer and Intermediary Oversight issued a no-action letter to futures commission merchants, swap dealers and major swap participants, referred to as registrants, that provides relief from certain…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Issues Final Regulation A+ Rules

The SEC has adopted amendments to Regulation A and other rules and forms to implement Section 401 of the JOBS Act. Section 401 of the JOBS Act added Section 3(b)(2) to the Securities Act of 1933, which directed the SEC to adopt…more
| Administrative Law, Business Organizations, Securities Law

CFTC to Shift Enforcement Actions to Administrative Courts

The CFTC plans to revive the use of administrative courts to bring enforcement actions for violations of the Commodity Exchange Act and CFTC regulations, according to recent remarks by Aitan Goelman, Director of the Division of…more
| Administrative Law, Commercial Law & Contracts, Finance & Banking, Securities Law

Fed Governor Says Volker Rule Thresholds Should be Raised

In testimony before a Senate committee, Federal Reserve Governor Daniel K. Tarullo suggested the threshold for the Volker rule should be raised. He noted the Volcker rule and the incentive compensation requirements of Section…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Issuers Omit Proposals From Proxy Statements

As noted here, two issuers have omitted shareholder proposals from preliminary proxy statements where no-action letters from the SEC regarding omission of the proposals have been withdrawn. The blog suggests, within its rights,…more
| Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

CFPB to Allow Consumers to Voice Public Complaints About Financial Companies

The CFPB is finalizing a policy to allow consumers to voice publicly their complaints about consumer financial products and services. When consumers submit a complaint to the CFPB, they now have the option to share their account…more
| Finance & Banking, Consumer Protection
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150 South Fifth Street Suite 2300
Minneapolis, MN 55402, United States

Contact: Steve Quinlivan

  • 612.335.7076
  • 612.335.1657

Areas of Practice
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