David Jenson

David Jenson

Stinson Leonard Street

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Broker-Dealer Due Diligence And FINRA Exam Priorities

FINRA Chairman and CEO Richard G. Ketchum gave a speech on April 9, 2013 as part of the National Compliance Outreach Program for Broker-Dealers....more

4/16/2013 - Broker-Dealer Compliance Due Diligence FINRA Private Placements

SEC Comments On Broker-Dealer Registration By Private Fund Advisers

David W. Blass, Chief Counsel, Division of Trading and Markets, SEC, recently gave a speech before the American Bar Association Trading and Markets Subcommittee on April 5, 2013. The topic of the speech was whether and when...more

4/8/2013 - Broker-Dealer Dodd-Frank Private Equity Funds Private Funds Registration SEC

New FAQs On Broker-Dealer Registration Exemption

On February 5, 2013, the SEC released FAQs regarding Section 201 of the JOBS Act, which offers a new limited exemption from broker-dealer registration....more

2/8/2013 - Accredited Investors Broker-Dealer Exemptions JOBS Act Registration Rule 506 Offerings SEC Securities

Securities Law Essentials For Growing Companies

We recently gave a presentation at a CLE titled Securities Law Essentials for Growing Companies. The presentation included an overview of what constitutes a public offering, what is a security, classical private placements,...more

1/16/2013 - Broker-Dealer Dodd-Frank JOBS Act Private Placements Safe Harbors Securities

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