Stinson Leonard Street 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 »

SEC Releases New FAQs on General Solicitation


Broker-Dealer, Consumer Protection, Private Equity, Public Companies and Securities On November 13, 2013, the SEC released new compliance and disclosure interpretations (which we’re calling FAQs) aimed at addressing common questions relating to private offerings that make use of general solicitation under new Rule 506(c) and Rule 144A.  Rule 144A / Regulation S Clarifications Regulation S provides an exemption for offers and sales of securities […] Read more →

by   |   November 14, 2013


SEC Unveils Proposed Regulation Crowdfunding

Public Companies and Securities The SEC has proposed new Regulation Crowdfunding  to implement the requirements of Title III of the JOBS Act.  Regulation Crowdfunding would prescribe rules governing the offer... Read more →

by , and   |   October 28, 2013

SEC logo

Open for Business: Comments on the SEC’s Latest Regulation D Proposals

Broker-Dealer, Consumer Protection, Private Equity A review of some of the approximately 300 comment letters the SEC has received relating to its latest round of Regulation D proposals is a showcase for the various types of... Read more →

by   |   August 26, 2013

crowdfunding arrow

10 Minute Overview of General Solicitation and Crowdfunding

Broker-Dealer, Private Equity On August 19, Nicole Strydom and I gave a 10 minute presentation on the general solicitation rules and the current status of “crowdfunding” at a ceremony to announce the... Read more →

by   |   August 21, 2013