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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.

 

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