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

FSOC Seeks Comment About Risks Posed by Hedge Funds and Other Asset Managers

The Financial Stability Oversight Council, or FSOC, voted on December 18, 2014 to release a notice seeking public comment regarding potential risks to U.S. financial stability from asset management products and activities,…more
| Finance & Banking

SEC Proposes JOBS Act Rules for Exchange Act Registration Requirements

As mandated by the JOBS Act, the SEC has issued proposed amendments to revise the rules related to the thresholds for registration, termination of registration, and suspension of reporting under Section 12(g) of the Exchange…more
| Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

NASAA Unveils Online Filing System for State Form D Filings

On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use in connection with state Form D filings in Rule 506 offerings. The NASAA has…more
| Commercial Law & Contracts, Securities Law

What Really Happened to the Swap Pushout Rule and Dodd-Frank Sleepers From Cromnibus

The swap pushout rule was originally embodied in Section 716 of the Dodd-Frank Act. Among other things, it prohibited “federal assistance” to any “swaps entity.” Insured depository institutions were subject to this…more
| Commercial Law & Contracts, Securities Law

Study Concludes ISS Data on Voting Against Hostile Takeovers is Flawed

On October 22, 2014, ISS published a note on the financial consequences for shareholders to vote “NO” to a proposed hostile takeover. ISS claimed to have demonstrated that those shareholders who voted “No” to a proposed…more
| Commercial Law & Contracts

SEC Distances Itself From Janus and Adopts Expansive View of Rule 10b-5(a) and (c)

The SEC recently rendered an opinion in an enforcement action against two persons, John P. Flannery and James D. Hopkins, associated with an investment adviser. In so doing, it sought to limit the Supreme Court’s holding in…more
| Commercial Law & Contracts, Securities Law

Streamlined Regulation for Insurance Companies

The Insurance Capital Standards Clarification Act of 2014 has been presented to President Obama for signature. The bill will: Add language to Section 171 of Dodd-Frank to clarify that, in establishing minimum capital…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Insurance, Securities Law

More Small Bank Holding Companies to be Eligible for Regulatory Relief

A bill has been presented to President Obama for signature that will make more small bank holding companies eligible for regulatory relief. The bill directs the Federal Reserve to increase the qualifying asset threshold of the…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Court of Chancery Speaks to Exclusivity Agreements in Public Company Acquisitions

You reach the point in the sale of almost every public company where the buyer wants an exclusivity agreement. Lawyers representing the target wring their hands about the effect of an exclusivity agreement and the effect of…more
| Commercial Law & Contracts, Mergers & Acquisitions, Securities Law

NYSE to Make Late Filings Rule Applicable to Form 10-Q and Defective Filings

The NYSE proposes to amend its continued listing requirements in relation to the late filing of a company’s annual report with the SEC as set forth in Section 802.01E, or the Late Filer Rule, of the Listed Company Manual. As…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CFPB Addresses Medical Debt

The CFPB released a report that found medical debt has a significant impact on consumer credit, as 43 million Americans have overdue medical debt on their credit reports. The CFPB is concerned that the systems for incurring,…more
| Consumer Protection, Health

SEC Settles with Bitcoin/Litecoin Exchange Operator

The SEC recently announced a settlement in connection with the operation of unregistered virtual-currency-based stock exchanges. The settlement is instructive as to how the SEC will evaluate crypto-currency trading platforms…more
| Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

SEC Commissioner Wonders Whether Harvard Violated Securities Laws

SEC Commissioner Daniel M. Gallagher and Joseph A. Grundfest, Stanford Law School, Rock Center for Corporate Governance, have just published a paper titled “Did Harvard Violate Federal Securities Law? The Campaign Against…more
| Commercial Law & Contracts, Education, Securities Law

SEC Makes Municipal Advisor Compliance Transcript Available

On November 3, 2014, the SEC, MSRB and FINRA held a compliance outreach program for municipal advisors. The SEC has made an unofficial transcript of the event..…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Files Brief in Conflict Minerals Rehearing

The SEC has filed its brief in the conflict minerals rehearing. Amnesty International also filed its brief as intervenor and Free Speech for People filed an amicus brief…more
| Civil Procedure, Commercial Law & Contracts, 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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Other U.S. Locations
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  • Minnesota
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