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 »

Reg 506(b) Offerings Continue to Dominate Regulation D Practice

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Private Equity, Public Companies and Securities, Uncategorized A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c) offerings with general solicitation.  The charts beginning on page nine of the report make this apparent.  Other interesting data includes: The total offering amount in 506(c) offerings, according to the Form D filings, is […] Read more →

by   |   March 9, 2014

SEC Commissioner Says JOBS Act Merits Increased Scrutiny of Transfer Agents

Broker-Dealer, Public Companies and Securities, Uncategorized Commissioner Luis A. Aguilar recently gave a speech in which he stated the JOBS Act will require increased scrutiny of transfer agents because of the gatekeeping function that... Read more →

by   |   February 21, 2014

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SEC Says Registration as an Investment Adviser Not Necessary for 100% Owned Corporate Groups

Investment Advisers, Private Equity, Uncategorized The SEC staff recently issued a no-action letter stating that registration as an investment adviser was not necessary when (i) asset management services are provided only to... Read more →

by   |   February 18, 2014

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SEC Issues Guidance on Unbundling of Proxy Proposals

Public Companies and Securities, Uncategorized Exchange Act Rule 14a-4(a)(3) concerns the “unbundling” of separate matters that are submitted to a shareholder vote by a company or any other person soliciting proxy... Read more →

by   |   January 24, 2014