Stinson Leonard Street - Dodd-Frank and the Jobs Act

And Now Bad Actor Waivers for Forward-Looking Statements

The Securities Act (Section 27A(b)) and the Exchange Act (Section 21E(b)) exclude reliance on the safe harbor for forward-looking statements if, among other things, the statement is made with respect to an issuer that has,…more
| Administrative Law, Commercial Law & Contracts, Securities Law

Does the SEC Want Issuers to Self-Report Everything?

Andrew Ceresney, Director, SEC Division of Enforcement delivered remarks at a conference where he addressed the SEC’s cooperation program. Much of the focus was on the benefits of self-reporting and cooperation in high-stakes…more
| Administrative Law, Commercial Law & Contracts, International Law & Trade, Securities Law

CFPB Takes Action Against PayPal for Allegedly Signing Up Consumers for Unwanted Online Credit

The CFPB filed a complaint and proposed consent order in federal court against PayPal, Inc. The CFPB alleges PayPal illegally signed up consumers for its online credit product, PayPal Credit, formerly known as Bill Me Later…more
| Administrative Law, Communications & Media Law, Consumer Protection, Finance & Banking

Is the Conflict Minerals Law Helping?

Those toiling away for the second required conflict minerals filings are sure to wonder whether the law is having any positive impact. Politico has an interesting article about a trip to the DRC in an attempt to answer that…more
| Civil Procedure, Commercial Law & Contracts, Securities Law

ISS Reports on Compensation Trends

ISS has issued a report on compensation trends incorporating data so far from this year’s proxy filings. According to ISS: - The most significant trend continuing in 2015 has been the move to performance-based pay, which…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Proxy Access – Week of May 10 – The Trend is Clear

During the week of May 10, 2015, 8-Ks were filed that disclosed 11 shareholder sponsored proxy access proposals passed and one failed. All required three percent ownership for three years and all were opposed by the company…more
| Business Organizations, Commercial Law & Contracts, Franchise Law, Labor & Employment Law, Securities Law

A Saab Is Not A Tangible Object Either

We previously reported on a U.S. Supreme Court case which interpreted the evidence destruction provisions of Sarbanes-Oxley. A plurality of the Court held in Yates that destruction of fish was not destruction of a tangible…more
| Criminal Law

OCIE Speaks On Private Equity Deficiencies

Marc Wyatt, Acting Director, Office of Compliance Inspections and Examinations, of the SEC, recently gave his views on serious deficiencies found in examinations of private equity advisors at a conference attended by private…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Delaware Dismisses Caremark Claim Against DuPont

The Delaware Court of Chancery recently dismissed a derivative action in Ironworkers District Council of Philadelphia & Vicinity Retirement & Pension Plan v. Andreotti et al. One of the many claims alleged was a Caremark claim…more
| Business Torts, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Proxy Access – Week of May 3

During the week of May 3, 2015, 8-Ks were filed that disclosed six shareholder sponsored proxy access proposals passed and three failed. All required three percent ownership for three years and all were opposed by the company…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Observations on the SEC’s Proposed Pay Versus Performance Rule

The SEC has issued a proposed rule to require companies to disclose the relationship between executive compensation and the financial performance of a company. The details of the proposed rule have been well publicized, and a…more
| Administrative Law, Business Organizations, Franchise Law, Labor & Employment Law, Securities Law

CFTC Proposes Changes to Trade Option Rules for End Users

The CFTC has proposed several important changes that would alleviate the reporting and recordkeeping obligations of end users with respect to trade options (or provide by rule certain relief currently only available under…more
| Commercial Law & Contracts, Energy & Utilities, Finance & Banking, Securities Law

CFTC Says Securitization SPVs Eligible for End-User Exception

The CFTC issued a no-action letter to Ford Motor Credit to clarify that a securitization special purpose vehicle, or SPV, that is wholly-owned by, and consolidated with, a captive finance company (as described in Section…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Proxy Access — Week of April 26

During the week of April 26, 2015, 8-Ks were filed that disclosed two shareholder sponsored proxy access proposals passed and two failed. All required three percent ownership for three years and all were opposed by the company…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Labor & Employment Law, Securities Law

Agencies Issue Final Rule on Minimum Requirements for Appraisal Management Companies

Six federal financial regulatory issued a final rule that implements minimum requirements for state registration and supervision of appraisal management companies, or AMCs. An AMC is an entity that provides appraisal management…more
| Commercial Law & Contracts, Finance & Banking, Consumer Protection, Real Estate - Residential
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150 South Fifth Street Suite 2300
Minneapolis, MN 55402, United States

Contact: Steve Quinlivan

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