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 »

Private Placement Due Diligence and Contingency Offerings Among FINRA’s 2015 Priorities

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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 the approval of FINRA Rule 5123 on June 7, 2012, firms have been required to file private placement materials for review by FINRA. As a result of […] 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

No-Action Relief for Social Impact Financing Finder

Broker-Dealer, Private Equity The SEC issued a no-action letter on November 13, 2014 to Social Finance, Inc., indicating that it would not recommend enforcement action against Social Finance for its conduct as... Read more →

by   |   November 17, 2014