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 »

2014 Changes to the Minnesota Business Corporation Act Become Law

Scale and Gavel

Public Companies and Securities The Minnesota Business Corporation Act was recently revised and the amendments have been signed into law.  Among other things, the changes: Provide for pre-clearance of documents to be filed with the Minnesota Secretary of State. Provide for dissenters’ rights in certain transactions where shareholders are eliminated in fractional share transactions. Clarify the manner in which […] Read more →

by and   |   March 24, 2014

Scale and Gavel

Alleged Securities Fraud at Dewey & LeBoeuf

Consumer Protection On March 6, 2014, the SEC brought charges of securities fraud against a handful of executives and finance professionals from the now-defunct global mega-firm Dewey &... Read more →

by   |   March 9, 2014

Minnesota_State_Capitol_5

MN Regulation of Investment Adviser Representatives

Investment Advisers In 2013, Minnesota enacted new regulatory statutes (prior coverage here, here, and here) that require “investment adviser representatives” to register with the department of... Read more →

by   |   February 16, 2014

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No Action Letter Allows M&A Brokers to Receive Transaction-Based Compensation

Broker-Dealer Historically, the SEC has taken the position that in order for a person to receive transaction-based compensation in connection with the sale of securities – even when the sale... Read more →

by   |   February 5, 2014