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 »

David Jenson

David Jenson

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Posts from David Jenson

New C&DIs Contemplate Intrastate Crowdfunded Offerings

crowdfunding

Broker-Dealer, Consumer Protection, Private Equity This week the SEC released three new Compliance and Disclosure Interpretations (C&DIs) relating to Rule 147, which applies to securities that exempt from registration pursuant to Section 3(a)(11) of the Securities Act because they were offered and sold only to residents of a single state, and were issued by a company transacting business in that […] Read more →

by   |   April 10, 2014

Scale and Gavel

Proposed Changes to the Minnesota Business Corporation Act

Public Companies and Securities The Minnesota legislature is considering proposed changes to the Minnesota Business Corporation Act.  Among other things, the changes would: Provide for pre-clearance of... Read more →

by and   |   March 24, 2014

Scale and Gavel

Alleged Securities Fraud at Dewey & LeBoeuf

Consumer Protection On March 6, 2014, the SEC brought charges of securities fraud against a handful of executives and finance professionals from the now-defunct global mega-firm Dewey &... Read more →

by   |   March 9, 2014

Minnesota_State_Capitol_5

MN Regulation of Investment Adviser Representatives

Investment Advisers In 2013, Minnesota enacted new regulatory statutes (prior coverage here, here, and here) that require “investment adviser representatives” to register with the department of... Read more →

by   |   February 16, 2014