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 »

Ethan Mark

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Posts from Ethan Mark

SEC Warns on Outsourced Chief Compliance Officers

Investment Advisers, Private Equity The SEC’s Office of Compliance Inspections and Examinations, or OCIE, recently issued a risk alert titled “Examinations of Advisers and Funds That Outsource Their Chief Compliance Officers.”  According to the alert, OCIE staff have noted a growing trend in the investment management industry: outsourcing compliance activities to third parties, such as consultants or law firms. […] Read more →

by   |   November 30, 2015

SEC Provides Guidance on Venture Capital Fund Advisers Exemption

Investment Advisers Investment advisers to venture capital funds are exempt from registration under the Investment Advisors Act if certain requirements are met.  Amongst those requirements is that... Read more →

by   |   September 27, 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

Exercising Registration Rights Did Not Violate Fiduciary Duties

Litigation, Public Companies and Securities Molycorp, Inc. is a publically traded Delaware corporation engaged in a the production and sale of rare earth oxides.  Private equity investors held 44% of Molycorp’s stock,... Read more →

by   |   May 28, 2015