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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david.jenson@stinsonleonard.com

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Posts from David Jenson

NASAA Unveils Online Filing System for State Form D Filings

NASAA

Broker-Dealer, Investment Advisers, Private Equity On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use in connection with state Form D filings in Rule 506 offerings.  The NASAA has been pursuing initiatives to streamline the state blue sky filing process for some time. In July of 2014, we reported on […] Read more →

by   |   December 17, 2014

SEC logo

SEC Settles with Bitcoin/Litecoin Exchange Operator

Broker-Dealer, Consumer Protection The SEC recently announced a settlement in connection with the operation of unregistered virtual-currency-based stock exchanges. The settlement is instructive as to how the SEC... Read more →

by   |   December 13, 2014

No-Action Relief for Social Impact Financing Finder

Broker-Dealer, Private Equity The SEC issued a no-action letter on November 13, 2014 to Social Finance, Inc., indicating that it would not recommend enforcement action against Social Finance for its conduct as... Read more →

by   |   November 17, 2014

NASAA

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

Investment Advisers, Private Equity, Public Companies and Securities The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and... Read more →

by   |   July 9, 2014