Stephen M. Quinlivan

Stephen M. Quinlivan

Stinson Leonard Street

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Pending Legislation Offers M&A Advisers Relief From Broker-Dealer Rules

A bill pending in the House of Representatives (H.R. 2274) would provide some relief for M&A advisers from the broker-dealer registration rules....more

8/13/2013 - Acquisitions Broker-Dealer Mergers Proposed Legislation Registration SEC

SEC Issues Final Rules On Audits Of Broker-Dealers

The SEC has amended certain broker-dealer annual reporting, audit, and notification requirements. ...more

8/1/2013 - Annual Reports Audits Broker-Dealer Filing Requirements Notice Requirements SEC

SEC Exempts Another Crowd Funding Site From Broker-Dealer Rules

The SEC has granted AngelList relief on accepting transaction based compensation for crowd funding, exempting it from the broker-dealer rules. A couple days ago, the SEC granted relief to thefundersclub.com. Makes you kind...more

4/1/2013 - Broker-Dealer Crowdfunding Dodd-Frank FINRA General Solicitation Investment Adviser SEC

SEC Says Crowdfunding VC Site Not A Broker-Dealer

Thefundersclub.com operates a really cool website. The publicly available page advertises “The best way to invest in startups. Insider access to pre-vetted startups. Low minimum investment sizes. Free membership. Join...more

3/28/2013 - Accredited Investors Broker-Dealer Crowdfunding General Solicitation SEC Startups

SEC Charges Private Equity Fund Advisers With Misleading Investors About Valuation And Performance

The SEC has charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a private equity fund they manage. The SEC recently hinted at potential increased...more

3/12/2013 - Broker-Dealer Investment Adviser Private Equity Funds SEC Valuation

SEC Charges Private Equity Group For Using Unregistered Broker

The SEC has announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, and an unregistered broker who violated securities laws when soliciting more than $500 million in capital...more

3/12/2013 - Broker-Dealer Finders General Solicitation Ranieri Partners SEC

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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