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 »

Latest Dodd-Frank Posts

SEC Investment Management Division Provides Social Media Guidance

social media

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 investment adviser registered or required to be registered under [the Advisers Act], directly or indirectly, to publish, circulate, or distribute any advertisement which refers, directly or indirectly, to any […] Read more →

by   |   March 31, 2014

Minnesota

Minnesota Revised Uniform Limited Liability Company Act

Uncategorized Minnesota has adopted the Minnesota Revised Uniform Limited Liability Company Act (the “Revised Act”) and the legislation was signed into law by Governor Dayton on April 11,... Read more →

by   |   March 29, 2014

advertising

Keith Higgins Speaks to JOBS Act Misperceptions: • The staff will not be quick to second guess • “Venture fairs” and “demo days” are not prohibited • Issuers are not expected to comply with the pending Regulation D rule proposal

Public Companies and Securities In a recent speech, Keith Higgins, Director, SEC Division of Corporation Finance, gave his views on certain misperceptions and other matters regarding general solicitation under... Read more →

by   |   March 28, 2014

bad actor

U.S. Brings Criminal Charges for False Sarbanes-Oxley Certifications

Litigation, Public Companies and Securities An indictment was recently unsealed where the United States recently brought criminal charges, for among other things, false certifications under Section 302 and 906 of the... Read more →

by   |   March 27, 2014