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 Investment Advisers

SEC Preparing to Move Forward on Accredited Investor Definition

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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 review of the “accredited investor” definition. That review and the feedback received through that process will inform the SEC’s consideration of whether to change the definition of accredited investor, including […] Read more →

by   |   November 22, 2015

“Recidivist” Custody Rule Violators Settle SEC Charges

Investment Advisers, Litigation, Private Equity The SEC announced that an investment advisory firm, two owners, and a former chief compliance officer have agreed to settle charges that the firm again violated the custody rule... Read more →

by   |   November 19, 2015

SEC Finalizes Regulation Crowdfunding — Intermediary Requirements

Broker-Dealer, Crowdfunding, Investment Advisers The Securities and Exchange Commission issued final rules to implement the equity crowdfunding provisions under the JOBS Act on October 30, 2015, termed Regulation Crowdfunding. ... Read more →

by   |   November 11, 2015

SEC Finalizes Regulation Crowdfunding – Issuer Requirements

Broker-Dealer, Crowdfunding, Investment Advisers The United States Securities and Exchange Commission has issued final rules on Regulation Crowdfunding. This post analyzes the “Issuer Requirements” section of the SEC’s... Read more →

by   |   November 10, 2015