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 »

What is a Security? Even the SEC Can’t Always Tell

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Broker-Dealer, Consumer Protection, Investment Advisers On February 27, 2015, an Administrative Law Judge (ALJ) determined that, contrary to claims by the SEC, interests in an LLC that invested in conservation easements as a tax deduction mechanism were not “securities” within the meaning of the Securities Act of 1933. Paul Edward “Ed” Lloyd, Jr. is a CPA and, at the time […] Read more →

by   |   March 5, 2015


Forms and Tools for the Minnesota Revised Uniform Limited Liability Company Act

Uncategorized The effective date of the Minnesota Revised Uniform Limited Liability Company Act, August 1, 2015, is rapidly approaching.  The following materials are available to implement the... Read more →

by and   |   February 2, 2015


Model Rule Exempting M&A Brokers Proposed by NASAA

Broker-Dealer, Private Equity The Broker-Dealer section of the North American Securities Administrators Association (NASAA) has proposed a model uniform state rule (the “Model Rule”) that would exempt... Read more →

by   |   January 18, 2015

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Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities

Broker-Dealer, Private Equity On January 6, 2015, FINRA released its 10th annual Regulatory and Examinations Priorities Letter in which it identified key areas of focus for FINRA investigations for 2015. Since... Read more →

by   |   January 11, 2015