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 »

SEC Finalizes Regulation Crowdfunding — Intermediary Requirements

Broker-Dealer, Crowdfunding, Investment Advisers The Securities and Exchange Commission issued final rules to implement the equity crowdfunding provisions under the JOBS Act on October 30, 2015, termed Regulation Crowdfunding.  This post analyzes the rules and requirements under Regulation Crowdfunding that apply to the intermediaries that facilitate the offerings. Intermediaries and Requirements Section 4(a)(6)(C) of the Securities Act requires that... Read more →

by   |   November 11, 2015

Get Ready for Crowdfunding

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... Read more →

by   |   October 30, 2015

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

SEC logo

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