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 »

Dodd-Frank Broker-Dealer

SEC’s OCIE Announces Cybersecurity Examinations of Broker-Dealers and Registered Investment Advisers

Broker-Dealer, Investment Advisers The SEC’s Office of Compliance Inspections and Examinations, or OCIE, previously announced that its 2014 Examination Priorities included a focus on technology, including cybersecurity preparedness.  OCIE has issued a Risk Alert to provide additional information concerning its initiative to assess cybersecurity preparedness in the securities industry. As part of this initiative, OCIE will conduct... Read more →

by   |   April 16, 2014

crowdfunding

New C&DIs Contemplate Intrastate Crowdfunded Offerings

Broker-Dealer, Consumer Protection, Private Equity This week the SEC released three new Compliance and Disclosure Interpretations (C&DIs) relating to Rule 147, which applies to securities that exempt from registration pursuant... Read more →

by   |   April 10, 2014

msrb

MSRB to Implement Registration Process for Municipal Securities Dealers and Municipal Advisors

Broker-Dealer, Municipal Advisors The Municipal Securities Rulemaking Board, or MSRB, has received approval from the SEC to consolidate its multiple registration requirements and forms for municipal securities... Read more →

by   |   February 27, 2014

social media

IPOs, Tweets and FWPs

Broker-Dealer, Public Companies and Securities Fantex, offering NFL player Vernon Davis tracking stock, has taken to Twitter to promote its offering.  The required legend to use a free writing prospectus, or FWP, would exceed... Read more →

by   |   February 24, 2014