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 »

D&O Questionnaire Update Forms for 2014

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Public Companies and Securities The SEC has adopted rules prohibiting “bad actors” from using Rule 506 after September 23, 2013 (the effective date of the rules), or if prohibited conduct occurred prior to the effective date of the rules, the prohibition will not apply if disclosure of the past prohibited conduct is made to investors a reasonable amount of […] Read more →

by , , and   |   December 1, 2013

Integration Issues Under the JOBS Act

Private Equity, Public Companies and Securities The integration doctrine must be considered when an issuer conducts multiple offerings in a short period of time.  If applicable, multiple offerings are collapsed to determine if... Read more →

by   |   November 18, 2013

SEC Expects Companies to Transition to New COSO Framework for Internal Control Reporting

Public Companies and Securities When evaluating internal control over financial reporting, Exchange Act Rule 13a-15(c) requires the evaluation to be based on a framework that is “a suitable, recognized... Read more →

by   |   November 15, 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