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 »

Get Ready for Crowdfunding

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Broker-Dealer, Private Equity The SEC is expected to vote today to approve final rules to implement Title III of the JOBS Act, which will permit so-called equity crowdfunding for the first time. It has been some three years since the SEC was tasked with issuing these rules, and back in March we wondered whether the crowdfunding rules were […] Read more →

by   |   October 30, 2015

Minnesota

Minnesota Adopts Crowdfunding Law

Public Companies and Securities Minnesota has adopted an intrastate crowdfunding exemption referred to as “MNvest.”  The legislation is meant to work in tandem with the federal exemption for intrastate... Read more →

by , and   |   June 15, 2015

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SEC Continues Crackdown on Unregistered Broker-Dealers

Broker-Dealer, Consumer Protection, Private Equity A New York man has agreed to pay almost $4.5 million to settle charges by the SEC that he violated Section 15(a) of the Exchange Act by acting as an unregistered broker-dealer.... Read more →

by   |   June 14, 2015

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SEC Imposes $6 Million in Penalties for Straw Purchaser Arrangement

Broker-Dealer, Consumer Protection, Investment Advisers On March 26, 2015, the SEC settled charges against 22 parties relating to arrangements by which companies not registered as broker-dealers purchased securities on behalf of Global... Read more →

by   |   March 31, 2015