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 »

Model Rule Exempting M&A Brokers Proposed by NASAA

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 parties that act only as deal brokers in M&A transactions from regulation under applicable state broker-dealer laws. Last January, the SEC released a no-action letter (the “SEC Letter”) in which it outlined […] 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

NASAA

NASAA Unveils Online Filing System for State Form D Filings

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... Read more →

by   |   December 17, 2014

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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