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

Verifying Accredited Investors in Public Rule 506 Offerings: SIFMA Guidance

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Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities On June 23, 2014, the Securities Industry and Financial Markets Association (SIFMA) published a memo outlining several specific methods for verifying accredited investor status that SIFMA believes would satisfy the requirement, in a Rule 506(c) offering involving general solicitation, that the issuer take “reasonable steps” to verify the accredited investor status of each purchaser in […] Read more →

by   |   June 28, 2014

whistleblower

SEC: Don’t Ignore the Habitually Wrong Whistleblower

Broker-Dealer, Employment, Investment Advisers, Litigation, Municipal Advisors, Private Equity, Public Companies and Securities SEC Chair Mary Jo White recently gave a speech on a number of important matters, including the role of directors as gatekeepers, her views of self-reporting of violations and the... Read more →

by   |   June 24, 2014

broker-dealer

SEC Orders Exchanges and FINRA to Submit Tick Size Pilot Program

Broker-Dealer, Public Companies and Securities The SEC has ordered registered securities exchanges and FINRA to submit a tick size pilot program within 60 days.  The order specifies that the control group will be quoted at... Read more →

by   |   June 24, 2014

hedge fund

Integrated Private Equity Firms Charged With Failure to Register and Pay-to-Play Violations

Investment Advisers, Litigation, Private Equity The SEC charged two firms with failing to register as investment advisers because their operations were integrated (SEC orders are here and here) and charged one of the entities... Read more →

by   |   June 20, 2014