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 »

Dodd-Frank Broker-Dealer

Crowdfunders and Crowdfunding Service Providers Beware

job creation just ahead

Broker-Dealer, Crowdfunding, Litigation, Public Companies and Securities If you are planning to move into the crowdfunding consulting or platform area make sure you are familiar with the SEC broker-dealer rules, which require registration before performing broker-dealer services.  If you plan on crowdfunding an equity offering, you want to make sure all of your service providers are properly licensed.  The SEC has commenced […] Read more →

by   |   November 26, 2015

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SEC Preparing to Move Forward on Accredited Investor Definition

Broker-Dealer, Crowdfunding, Investment Advisers, Public Companies and Securities SEC Chair Mary Jo White gave testimony before the House of Representatives Committee on Financial Services.  Ms. White stated the staff is “engaged in a comprehensive... Read more →

by   |   November 22, 2015

job creation just ahead

SEC Finalizes Regulation Crowdfunding – Additional Funding Portal Requirements

Broker-Dealer, Crowdfunding, Public Companies and Securities The United States Securities and Exchange Commission has issued final rules on Regulation Crowdfunding. This post analyzes the “Additional Funding Portal Requirements”... Read more →

by   |   November 12, 2015


MSRB Considering T+2 for Munis

Broker-Dealer The Municipal Securities Rulemaking Board, or MSRB, is seeking public comment on a proposal to facilitate shortening the settlement cycle for transactions in municipal securities... Read more →

by   |   November 11, 2015