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 Private Equity

New C&DIs Contemplate Intrastate Crowdfunded Offerings

crowdfunding

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 to Section 3(a)(11) of the Securities Act because they were offered and sold only to residents of a single state, and were issued by a company transacting business in that […] Read more →

by   |   April 10, 2014

job creation just ahead

A Bad Turn for Reg A+ and Reg D?

Private Equity, Public Companies and Securities SEC Commissioner Luis A. Aguilar gave a speech to an annual conference of the North American Securities Administrators Association, otherwise known as NASAA.  On the issue of Reg... Read more →

by   |   April 8, 2014

social media

SEC Investment Management Division Provides Social Media Guidance

Investment Advisers, Private Equity Investment Advisers Act Rule 206(4)-1(a)(1) states that: “[i]t shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business . . . for any... Read more →

by   |   March 31, 2014

advertising

Reg 506(b) Offerings Continue to Dominate Regulation D Practice

Private Equity, Public Companies and Securities, Uncategorized A recent study by Crowdnetic indicates Regulation D offerings under Rule 506(b) without general solicitation continue to dominate over Rule 506(c) offerings with general... Read more →

by   |   March 9, 2014