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 »

Longfin, Rule 144 and Affiliate Status

Litigation, Public Companies and Securities The United States District Court for the Southern District of New York recently issued an opinion granting a preliminary injunction with respect to alleged Section 5 violations by certain persons associated with ill-fated Regulation A+ issuer Longfin. More specifically, the preliminary injunction extends until the conclusion of the case an emergency order previously entered by […] Read more →

by   |   May 3, 2018

SEC Proposed Interpretive Guidance for Investment Advisers: Implications for Private Equity

Investment Advisers, M&A The SEC’s recent proposed guidance for investment advisers has implications for private equity sponsors.  Perhaps the most important part of the guidance for private equity... Read more →

by   |   April 29, 2018

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Yahoo/Altaba Agree to $35 Million SEC Penalty for Failure to Disclose Massive Security Breach

Litigation, Public Companies and Securities In perhaps the SEC’s first major shot across the bow, Yahoo (now known as Altaba) has agreed to pay the SEC $35 million for failure to disclose a massive security breach to its... Read more →

by   |   April 24, 2018

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SEC Proposes Regulation Best Interest for Broker-Dealers

Broker-Dealer, Investment Advisers The SEC has proposed two rules and an interpretation to address retail investor confusion about the relationships that they have with investment professionals and the harm that... Read more →

by   |   April 18, 2018