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

Press Releases Sink Private Offering

Litigation, Public Companies and Securities The opinion of the SEC in KCD Financial Inc. upholds a FINRA disciplinary action against a FINRA member broker-dealer that sold securities in a private placement when no exemption from registration was available.  KCD’s Dallas office also did business under the name Westmount Realty Finance LLC. Testimony indicated that Westmount Realty Finance had an “issuer […] Read more →

by   |   March 29, 2017

SEC Denies Listing of another Bitcoin Fund; Petition for Review Filed for Winklevoss Bitcoin Trust

Uncategorized The SEC has denied a proposed rule change by NYSE Arca to permit the listing and trading of shares of the SolidX Bitcoin Trust. The reasons were substantially similar to the... Read more →

by   |   March 28, 2017

Sears and the Going Concern Footnote

Public Companies and Securities Traditionally, there has been no guidance in US GAAP about management’s responsibility to evaluate whether there is substantial doubt about an entity’s ability to continue as... Read more →

by   |   March 22, 2017

Regulation A+ Issuer Aims for NYSE MKT Listing

Public Companies and Securities Myomo, Inc. has had an offering statement qualified by the SEC in which it discloses an intent to apply to list its common stock on the NYSE MKT LLC. The offering seeks to raise... Read more →

by   |   March 21, 2017