In connection with an EB-5 program, foreign investors are offered a special subset of private funds and securities offerings made through regional centers and non-regional centers approved by the USCIS.
Continue Reading Fee-based foreign finders and SEC/FINRA registration requirements

William Mack
William B. Mack is a co-chair of the Financial Regulatory and Compliance Practice. He is experienced in advising companies on regulatory and compliance matters relating to the Securities and Exchange Commission regulations, the Exchange Act, Anti-Money Laundering laws and Financial Industry Regulatory Authority (FINRA) rules.
William’s practice involves all aspects of broker-dealer regulation, including Self-Regulatory Organization (SRO) membership, supervision, employment, research, soft dollar arrangements, chaperoning of foreign broker-dealers, social media, use of foreign finders, anti-money laundering rules, alternative trading systems (ATS), exchanges, and market making issues. He also provides regulatory guidance to investment banking clients in connection with securities offerings and related trading issues.
Suitability and AML Concerns for Broker/Dealers Engaged in the Offering and Sale of EB-5 Investments
In greater frequency, broker-dealers are participating in EB-5 financings. These broker-dealers engage foreign finders and foreign affiliates to locate suitable investors. Engaging foreign finders and foreign affiliates can pose compliance…
Continue Reading Suitability and AML Concerns for Broker/Dealers Engaged in the Offering and Sale of EB-5 Investments