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 »

Latest Dodd-Frank Posts

General Solicitation Under the Final JOBS Act Rules


Investment Advisers, Private Equity, Public Companies and Securities The SEC has adopted final rules eliminating the ban on general solicitation and advertising in Rule 506 offerings.  The changes are mostly embodied in new Rule 506(c). Definition of General Solicitation and Advertising Although the terms “general solicitation” and “general advertising” are not defined in Regulation D, Rule 502(c) does provide examples of general solicitation […] Read more →

by   |   July 11, 2013


FSOC Designates AIG and GECC as Nonbank Financial Companies

Banking FSOC has designated the following as nonbank financial companies: American International Group, Inc General Electric Capital Corporation, Inc Under Section 113 of the Dodd-Frank... Read more →

by   |   July 9, 2013


SEC Denies Another Whistleblower Claim

Employment, Public Companies and Securities The SEC has denied granting an award to another whistleblower in the second action of this year.  The SEC determined that the whistleblower did not provide any “original... Read more →

by   |   July 4, 2013

Changes to FINRA Rule 5123

Broker-Dealer, Private Equity On June 20, 2013, FINRA proposed changes to Rule 5123 that would require offering documents in connection with certain private placements to be filed electronically by FINRA... Read more →

by   |   July 3, 2013