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 »

New C&DIs on Verification of Accredited Investor Status

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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 506(b) and Rule 506(c).   Two of these C&DIs are straightforward clarifications; the remaining four relate to two of the safe harbors established by the SEC for purposes of determining […] 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

Minnesota

Implementing the Minnesota Revised Uniform Limited Liability Company Act

Uncategorized The Minnesota Revised Uniform Limited Liability Company Act (the “Revised Act”) has been adopted in Minnesota and will replace Minnesota’s current limited liability company... Read more →

by , , and   |   April 23, 2014