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 Lays Out Road Map on Disclosure Reform


Public Companies and Securities, Uncategorized Keith F. Higgins, Director, SEC Division of Corporation Finance, recently laid out the SEC staff’s approach to the much discussed disclosure reform initiative.  Highlights are as follows: Mr. Higgins stated there are many investors who have expressed an appetite for more information, not less. If the staff identifies potential gaps in disclosure or opportunities to […] Read more →

by   |   April 11, 2014


PCAOB Member Disputes Audit Firms’ Tales

Public Companies and Securities, Uncategorized Jeanette M. Franzel, PCAOB Board Member, recently gave her views on the PCAOB’s requirements.  Ms. Franzel noted the PCAOB has heard that in response to some recent changes,... Read more →

by   |   April 1, 2014


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

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... 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