Stinson Leonard Street - Dodd-Frank and the Jobs Act

SEC to Consider Requiring Inline XBRL Reporting and Comments on Disclosures in the Financial Services Industry

The SEC has issued a notice of a meeting to consider: Whether to propose amendments to rules and forms to require the use of the Inline XBRL format for the submission of operating company financial statement information and…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC and North American Securities Administrators Association Sign Information-Sharing Agreement

On February 17, 2017, the Securities and Exchange Commission (SEC) and the North America Securities Administrators Association (NASAA) entered into an information-sharing agreement in connection with intrastate crowdfunding and…more
| Commercial Law & Contracts, Securities Law

Judge Orders Status Report in Conflict Minerals Case

The conflict minerals case was remanded to the United Stated District Court for the District of Columbia for further proceedings. Judge Jackson has ordered the parties to file a joint status report, on or before March 10, 2017,…more
| Commercial Law & Contracts, Constitutional Law, International Law & Trade, Securities Law

SEC Targets Lapses in Ownership Reporting in Battles for Corporate Control

The SEC has recently announced settlement of enforcement actions targeting violations of beneficial reporting requirements under Section 13(d) of the Act. In one of the most recent actions (available here), the SEC’s…more
| Commercial Law & Contracts, Securities Law

SEC Approves T+2 settlement; Abides by T+4 settlement for Firm Commitment Deals

On February 10th, the SEC took action to formally approve of changes proposed by the NASDAQ Stock Market, NYSE MKT LLC, and New York Stock Exchange LLC’s, to shorten the standard settlement cycle for most broker-dealer…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

NJ Supreme Court Clarifies Standard for Member Expulsion under LLC Act

One of the features of the Revised Uniform Limited Liability Company Act (RULLCA) that has been adopted in Minnesota and many other states is that it allows for an LLC to expel a member by judicial order under certain…more
| Business Organizations, Civil Procedure, Commercial Law & Contracts

OCIE Issues Alert on the Five Most Frequent Compliance Topics Identified in Examinations of Investment Advisers

The SEC’s Office of Compliance Inspections and Examinations, or OCIE, has published a list of the five compliance topics most frequently identified in deficiency letters that are sent to SEC-registered investment advisers…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Trump’s 2 for 1 Regulatory Reduction Challenged in Court

President Donald Trump’s Executive Order requiring two regulations be repealed for every new one adopted and related OMB guidance have been challenged in a law suit commenced in the U.S. District Court for the District of…more
| Administrative Law, Civil Procedure, Elections & Politics, Finance & Banking

SEC to Reconsider Implementation of Pay Ratio Rule

Following on the heels of its announcement to reconsider implementation of the conflict minerals rule, SEC Acting Chairman Michael S. Piwowar has announced his intention to conduct a review of the Dodd-Frank pay ratio rule. The…more
| Commercial Law & Contracts, Securities Law

OMB Provides Guidance on Trump’s 2 for 1 Regulatory Cuts

OMB’s Office of Information and Regulatory Affairs has provided interim guidance on the requirements in Section 2, “Regulatory Cap for Fiscal Year 2017,” of the Executive Order of January 30, 2017, titled “Reducing Regulation…more
| Administrative Law, Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

What’s Next Under the Congressional Review Act?

As we reported, the House and Senate have passed a joint resolution under the Congressional Review Act disapproving the SEC Resource Extraction Rule and that President Trump was expected to sign the legislation that eliminates…more
| Constitutional Law, Elections & Politics, Energy & Utilities, Government Contracting, Securities Law

Trump Requires DOL to Reevaluate the Fiduciary Rule

Under current law, stockbrokers are only required to recommend suitable investments to their clients. The Department of Labor has issued a so called “fiduciary rule” which requires brokers, advisors and insurance agents, when…more
| Elections & Politics, Labor & Employment Law, Finance & Banking

Executive Order on Dodd-Frank Rollback

President Trump has signed an executive order titled “Presidential Executive Order on Core Principles for Regulating the United States Financial System.“ The “Core Principles” are..…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

SEC Resource Extraction Rule to be Eliminated Under Congressional Review Act

As we previously noted, the House was set to vote on the disapproval of the SEC Resource Extraction Rule under the Congressional Review Act. The joint resolution passed the House by a vote of 235 in favor and 187 against. Now…more
| Commercial Law & Contracts, Elections & Politics, Energy & Utilities, International Law & Trade, Securities Law

First Form AP Filed with the PCAOB

Grant Thornton LLP became the first registered public accounting firm to file a Form AP with the PCAOB. Form AP currently requires identification of the engagement audit partner associated with certain SEC filings and the…more
| Commercial Law & Contracts, Finance & Banking, Securities Law
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Contact: Steve Quinlivan

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