Posts from Tom Jensen
Recent CLE Materials – Minnesota Law
Litigation, Uncategorized David Jenson and I recently presented at the Minnesota CLE’s annual Business Law Institute. Our formal 2011 case and statutory summary can be accessed here and our PowerPoint can be accessed here. We’ve also included our summary from 2010 here. Among other things, they contain plenty of cautionary tales for lawyers and their business clients [...] Read more →
Some Ruminations on the JOBS Act’s Regulation D Provisions
Broker-Dealer, Private Equity, Public Companies and Securities The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty. While there are some open issues raised by the JOBS Act,... Read more →
More SEC Color on Current Investment Advisers Issues
Uncategorized In keynote remarks given at the PLI Investment Management Institute last week, SEC Commissioner Elisse B. Walter reiterated her support for the “need to protect retail... Read more →
Dodd-Frank vs. Reality
Investment Advisers Last week the SEC “was persuaded” to extend the compliance date for Dodd-Frank Act’s requirement that registered investment advisers provide their clients with... Read more →