Stinson Leonard Street 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 »

David Jenson

David Jenson

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Posts from David Jenson

Minnesota Adopts Crowdfunding Law


Public Companies and Securities Minnesota has adopted an intrastate crowdfunding exemption referred to as “MNvest.”  The legislation is meant to work in tandem with the federal exemption for intrastate offerings under Section 3(a)(11) of the Securities Act of 1933 and related guidance issued by the SEC in Rule 147. The exemption is available only to “MNvest issuers,” which generally […] Read more →

by , and   |   June 15, 2015

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SEC Continues Crackdown on Unregistered Broker-Dealers

Broker-Dealer, Consumer Protection, Private Equity A New York man has agreed to pay almost $4.5 million to settle charges by the SEC that he violated Section 15(a) of the Exchange Act by acting as an unregistered broker-dealer.... Read more →

by   |   June 14, 2015


SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

Broker-Dealer, Consumer Protection, Investment Advisers On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global... Read more →

by   |   March 31, 2015


Is Crowdfunding Under the JOBS Act Dead?

Broker-Dealer, Consumer Protection In a recent article titled JOBS Act State of the Union (well worth a read in full), Samuel Guzik makes the case that the SEC has given up on creating rules to implement Title III... Read more →

by   |   March 13, 2015