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 Public Companies and Securities

States File First Brief in Regulation A+ Challenge

Scale and Gavel

Public Companies and Securities Montana and Massachusetts have filed their first brief in their Regulation A+ challenge. They are not happy because Tier 2 offerings under Regulation A+ preempt state review of the offering. Under the text of the rule Tier 2 offerings are preempted because all sales are made to “qualified purchasers.” A qualified purchaser is defined to […] Read more →

by   |   August 27, 2015

conflict minerals

Conflict Minerals Rule Still Unconstitutional After Rehearing

Public Companies and Securities The United States Court of Appeals for the District of Columbia issued its decision on the conflict minerals rule after a rehearing. In National Association of Manufacturers, et... Read more →

by   |   August 18, 2015

Scale and Gavel

Update on Proxy Puts

Litigation, Public Companies and Securities Strike suits against public companies for “dead hand proxy put” provisions in credit agreements have recently attracted a lot of attention. A “dead hand proxy... Read more →

by   |   August 12, 2015

SEC logo

SEC Explains How to Form a Pre-Existing Relationship Using the Internet; New CDIs Issued

Broker-Dealer, Public Companies and Securities The SEC granted no-action relief to Citizen VC, Inc. which appears to state, although subject to facts and circumstances, a pre-existing relation can be formed with a person that... Read more →

by   |   August 6, 2015