Stinson Leonard Street - Dodd-Frank and the Jobs Act

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Firm Profile: Stinson Leonard Street
150 South Fifth Street
Suite 2300
Minneapolis, MN 55402, United States
Contact: Steve Quinlivan, Communications and Public Relations Manager
Phone: 612.335.7076
Fax: 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

SEC Brings Enforcement Action for Inadequately Documented Perks but Does Not Impose Penalty

The SEC charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations, including the failure to properly report as compensation millions of dollars in perks provided to its…more
 /  Commercial Law & Contracts, Securities Law

SEC Halts Initial Coin Offering; Chair Clayton Speaks

Munchee Inc., a California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial coin offering (ICO) after being contacted by the SEC. Munchee Inc…more
 /  Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

U.S. House of Representatives Acts To Codify Registration Exemption for M&A Brokers

On December 7, 2017, the U.S. House of Representatives passed the “Small Business Mergers, Acquisitions, Sales and Brokerage Simplification Act of 2017 (H.R. 477).” The bipartisan bill passed the House by a vote of 426-0…more
 /  Business Organizations, Commercial Law & Contracts, Elections & Politics, Mergers & Acquisitions, Securities Law

SEC Approves Revised NYSE Material News Release Rule

The SEC has approved the NYSE’s proposal to amend Section 202.06 of the Listed Company Manual to prohibit listed companies from issuing material news after the official closing time for the NYSE’s trading session until the…more
 /  Business Organizations, Securities Law

Critical Audit Matters (CAMs) and M&A

The SEC has approved the PCAOB’s standard regarding the communication of critical audit matters for public companies, referred to as CAMs, which will provide information in the audit report about matters arising from the audit…more
 /  Commercial Law & Contracts, Mergers & Acquisitions, Securities Law

Apple Seeks to Exclude Shareholder Proposal Based on Board Process in SLB 14I

In the closely watch area of shareholder proposals, Apple is seeking to exclude a shareholder proposal regarding the establishment of a Human Rights Committee because it involves the company’s ordinary business operations…more
 /  Commercial Law & Contracts, Securities Law

House Committee to Consider Repeal of Conflict Minerals and Mine Safety Disclosures

The House Financial Services Committee has announced it intends to meet to consider mark-ups of bills to repeal the conflicts minerals disclosures (H.R. 4248) and mine safety disclosures (H.R. 4289) on November 14, 2017…more
 /  Commercial Law & Contracts, Elections & Politics, Securities Law

U.S. House of Representatives Acts to Create New Category of Exempt Transaction Under the Securities Act of 1933

On November 9, 2017, the U.S. House of Representatives passed the Micro Offering Safe Harbor Act. The vote was largely along party lines, with Rep. Walter Jones from North Carolina’s third district casting the lone Republican…more
 /  Commercial Law & Contracts, Elections & Politics, Securities Law

SEC Warns Celebrities on Endorsing Initial Coin Offerings

The SEC issued a warning to celebrities and others that endorse initial coin offerings and other investments. The SEC noted: Any celebrity or other individual who promotes a virtual token or coin that is a security must…more
 /  Commercial Law & Contracts, Finance & Banking, Science, Computers, & Technology, Securities Law

SEC Staff Releases Pro-Issuer Guidance on Shareholder Proposals

The staff’s release of Staff Legal Bulletin No. 14I (“SLB 14I”) ahead of the upcoming proxy season, appears to reflect several issuer-friendly modifications to the staff’s processing of no-action letters seeking exclusion of…more
 /  Commercial Law & Contracts, Securities Law

Another Early Adopter Receives SEC Revenue Recognition Comments

Cboe Global Markets, Inc. (f/k/a CBOE Holdings, Inc.) recently received comments on its Form 10-Q related to FASB’s new revenue recognition standard…more
 /  Administrative Law, Commercial Law & Contracts, Securities Law

ISS Seeks Comment on Updated Policies Including Gender Pay Gap

ISS has made available for public comment certain proposed changes to ISS’ benchmark voting policies for 2018 that could generally become effective for the upcoming proxy season…more
 /  Commercial Law & Contracts, Securities Law

SEC Approves PCAOB’s Changes to Audit Reports

The SEC has approved the Public Company Accounting Oversight Board’s (“PCAOB”) new standard for audit reports on public company financial statements. The new auditor reporting standard will require more information about the…more
 /  Commercial Law & Contracts, Finance & Banking, Securities Law

It’s “Nasdaq”, not “NASDAQ”, According to Nasdaq

Nasdaq has filed an immediately effective rule change with the SEC to reflect a corporate branding change to Nasdaq’s name. Specifically, current references in Nasdaq’s governing documents and rules will be changed as follows..…more
 /  Commercial Law & Contracts, Securities Law

ISS Policy Application Survey Highlights Director Pay and Gender Pay Gap

This year ISS conducted two surveys. One was a high-level survey covering a small number of fundamental and high-profile topics. We reported the results here. ISS has now announced the results of a second, more expansive and…more
 /  Commercial Law & Contracts, Securities Law
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