Stinson Leonard Street - Dodd-Frank and the Jobs Act

SDNY Awards Front Pay in Sarbanes-Oxley Whistleblower Retaliation Case

Perez v. Progenics Pharmaceuticals, Inc., involved a case where Plaintiff Perez drafted a memo to Progenics’ general counsel and his department head, accusing Progenics of committing fraud by publishing a false press release…more
| Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Science, Computers, & Technology, Securities Law

SEC Suspends Regulation A+ Offering

In the first action of its kind, the SEC has temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The $15 million continuous offering of common stock was qualified by the SEC on November 3, 2015…more
| Commercial Law & Contracts, Securities Law

CFTC Chief Supports Extension of Swap Dealer De Minimis Exemption

Under current CFTC rules, market participants who exceed $8 billion in gross notional swap dealing activity over a twelve-month period are required to register with the CFTC as swap dealers during the phase-in period currently…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

SEC Charges Private Equity Advisor with Conflicts for Law Firm Discounts

In a settled enforcement action, the SEC charged a private equity advisor, First Reserve Management, L.P., with conflicts of interest and other matters. First Reserve did not admit or deny the SEC’s findings…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

U.S. House of Representatives Pass the Accelerating Access to Capital Act

Earlier today, the U.S. House of Representatives passed the Accelerating Access to Capital Act aimed at facilitating the formation of capital for U.S. small businesses. The measure is a package of three bills: H.R. 4850 – the…more
| Commercial Law & Contracts, Elections & Politics, Finance & Banking, Securities Law

Common Deficiencies Noted in Exams of Minnesota Registered Investment Advisers

The Minnesota Department of Commerce recently conducted a series of routine exams of investment adviser firms registered in Minnesota to analyze their compliance with certain regulations applicable to investment advisers…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

CFPB Month in Review for August 2016

In case you missed it, here is what the Consumer Financial Protection Bureau (CFPB) was up to over the last month: Enforcement Actions and Litigation - Enforcement Action Against First National Bank of Omaha - On…more
| Communications & Media Law, Consumer Protection, Finance & Banking, Indigenous Peoples, Real Estate - Residential

SEC’s Use of Form PF in Examinations

The SEC has again published its annual report to Congress regarding how the SEC has used Form PF data. The section on enforcement and investigation describes the use of the data in SEC examinations…more
| Administrative Law, Commercial Law & Contracts, Securities Law

CFTC Proposes to Amend Whistleblower Rules to Provide Anti-Retaliation Enforcement Authority

The CFTC has proposed amendments to its whistleblower rules that reinterpret its anti-retaliation authority and proposes appropriate rule amendments to implement that authority. When the CFTC initially adopted its…more
| Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

Preliminary Planning for the 2017 Proxy Season

For those who want to start preparing for the 2017 proxy season, our preliminary list of important considerations is set forth below: Directors’ and Officer’s Questionnaire - Nasdaq has adopted a rule requiring…more
| Commercial Law & Contracts, Securities Law

SEC Proposes Amendments to Require Hyperlinks to Exhibits in Filings

The SEC has proposed rule and form amendments that would require registrants to include a hyperlink to exhibits in their filings. The proposed amendments would require registrants that file registration statements and…more
| Commercial Law & Contracts, Securities Law

SEC Awards Culpable Whistleblower $22 Million

The SEC announced the award of more than $22 million to a whistleblower whose detailed tip and extensive assistance helped the agency halt a well-hidden fraud at the company where the whistleblower worked. The $22…more
| Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Securities Law

Recent SEC Enforcement Actions Prompt Consideration of Whistleblower Carve-outs

The recent settlement of SEC enforcement actions concerning the Dodd Frank Act’s whistleblower provisions are prompting companies and their counsels to evaluate current and prospective severance and confidentiality agreements…more
| Administrative Law, Civil Rights, Commercial Law & Contracts, Labor & Employment Law, Securities Law

SEC Requests Comment on Corporate Governance, Management and Security Holder Matters

The SEC is requesting public comment on certain disclosure requirements in Regulation S-K relating to management, certain security holders, and corporate governance matters contained in Subpart 400. This request is part of the…more
| Commercial Law & Contracts, Securities Law

GAO Says Companies Face Continuing Challenges in Determining Whether Their Conflict Minerals Benefit Armed Groups

GAO noted in a recent report that as a result of country-of-origin inquiries, an estimated 19 percent more companies that filed Form SD with the SEC reported that they knew or had reason to believe they knew the source of the…more
| Commercial Law & Contracts, International Law & Trade, Securities Law
Showing 1-15 of 923 Results
|
View per page
Page: of 62
Contact

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

Contact: Steve Quinlivan

  • 612.335.7076
  • 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
This profile may constitute attorney advertising. Prior results do not guarantee a similar outcome. Any correspondence with this profile holder does not constitute a client/attorney relationship. Neither the content on this profile nor transmissions between you and the profile holder through this profile are intended to provide legal or other advice or to create an attorney-client relationship.

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.
×