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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612.335.1464

david.jenson@stinsonleonard.com

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Posts from David Jenson

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

NASAA

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 state registration and notice filings. The rules have been posted for comment until July 30, 2014 and, in their final form, will be designed to serve as models […] Read more →

by   |   July 9, 2014

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New C&DIs on Verification of Accredited Investor Status

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On July 3, 2014, the SEC released six new Compliance and Disclosure Interpretations relating to verification of prospective investors as accredited investors for purposes of Rule... Read more →

by   |   July 5, 2014

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Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On June 23, 2014, the Securities Industry and Financial Markets Association (SIFMA) published a memo outlining several specific methods for verifying accredited investor status... Read more →

by   |   June 28, 2014

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Unregistered Finder Settles with the SEC, Agrees to Pay Millions

Broker-Dealer, Consumer Protection, Energy, Private Equity, Public Companies and Securities The SEC recently settled an enforcement action against an individual alleged to have sold millions of dollars in securities on behalf of oil and gas companies without being... Read more →

by   |   May 16, 2014