Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

New SEC Rules for Intrastate and Regional Securities Offerings

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Crowdfunding, Public Companies and Securities The SEC has adopted final rules to modernize intrastate securities offerings under Rule 147, adopted new Rule 147A to broaden the availability of the existing safe harbor for intrastate securities offerings and amended Rule 504 of Regulation D to facilitate regional securities offerings by increasing the maximum amount of securities which may be sold under […] Read more →

by and   |   October 26, 2016

Corp Fin Issues Three New and Revised Interpretations of the Securities Act Rules

Public Companies and Securities On October 19th, the Division of Corporation Finance released three new and revised Compliance and Disclosure Interpretations (C&DIs) concerning the Securities Act. Revised... Read more →

by   |   October 20, 2016

SEC’s Proposed Rules for Expedited Settlement May Impact Long-Standing Exception for Firm Commitment Offerings

Broker-Dealer, Public Companies and Securities The SEC has agreed to propose rules that would shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (also known... Read more →

by   |   September 29, 2016

Preliminary Planning for the 2017 Proxy Season

Public Companies and Securities 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... Read more →

by and   |   August 31, 2016