Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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General Solicitation – Week One – Flying Cars And More

It began with announcements like this from AngelList. For just $99 plus $25 per investment, wefunder will let you create a create a “beautiful profile” and send updates to followers, and provide free investment contracts,...more

9/26/2013 - Advertising Bad Actors Crowdfunding Dodd-Frank General Solicitation JOBS Act Regulation D SEC

Law Firm Verification Of Accredited Investor Status

The SEC suggests in its final rules eliminating the ban on general solicitation that law firms may be in a position to verify accredited investor status for issuers conducting Rule 506(c) offerings. ...more

7/26/2013 - Accredited Investors Advertising Dodd-Frank Final Rules General Solicitation Marketing Regulation D Rule 144A Rule 506 Offerings SEC Verification Requirements

General Solicitation Under The Final JOBS Act Rules

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)....more

7/12/2013 - Accredited Investors Advertising Dodd-Frank General Solicitation JOBS Act Regulation D Rule 506 Offerings SEC

SEC Considering Changes To Advertising Rules By Hedge Funds And Private Equity

Norm Champ, Director, SEC Division of Investment Management, recently noted that SEC rules prohibit certain advertisements by registered advisers. Mr. Champ noted the SEC has heard from advisers to private funds,...more

3/13/2013 - Advertising Hedge Funds JOBS Act Private Equity Funds SEC

FINRA To Require BrokerCheck Link On Internet Advertising

Financial Industry Regulatory Authority, Inc., or FINRA, has filed a proposed rule change with the SEC to amend FINRA Rule 2267 (Investor Education and Protection) to require that FINRA members include a prominent...more

1/8/2013 - Advertising BrokerCheck Brokers Dodd-Frank FINRA Internet SEC Social Media

CFPB Releases Exam Procedures For Student Loans

The CFPB has published the procedures it will use in examining student lenders. The Student Lending Examination Procedures are an extension of the CFPB’s General Supervision and Examination Manual and will be used as a field...more

12/18/2012 - Advertising CFPB Student Lending Examination Procedures Student Loans

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