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 »

Rule 506 FAQs: Some Answers, Some New Questions

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Broker-Dealer, Consumer Protection, Investment Advisers, Private Equity, Public Companies and Securities On December 4, 2013, the SEC released a new batch of FAQs regarding new Rules 506(d) and 506(e). Before diving in to the clarifications provided and the new uncertainties raised by the SEC in the new FAQs, you might want to take a quick look back at our prior post explaining the rules.  Broadly speaking, […] Read more →

by   |   December 4, 2013

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D&O Questionnaire Update Forms for 2014

Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to... Read more →

by , , and   |   December 1, 2013

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SEC Chair Discusses Potential Changes to Accredited Investor Definition

Broker-Dealer, Consumer Protection, Investment Advisers, Private Equity, Public Companies and Securities In a November 15, 2013 letter to Representative Scott Garrett (Chairman of the Subcommittee on Capital Markets and Government-Sponsored Enterprises for the House Financial... Read more →

by   |   November 19, 2013

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Updated Jobs Act Resources

Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities We have updated our publication, The JOBS Act and Other Securities Law Essentials for Growing Companies, to incorporate the proposed crowdfunding rules as well as the new insights... Read more →

by   |   November 14, 2013