Category Archives: Investment

OMB Publishes Fall 2018 Unified Agenda with EB-5 Regulatory Updates

By Robert Y. Maples on October 17th, 2018 Posted in Department of Homeland Security, EB-5, EB-5 Business Plan, EB-5 Immigrant Investor Program, EB-5 Investment, EB-5 Legislation, EB-5 Processing Times, EB-5 Program, EB-5 Project, Immigration, Immigration Law, Investment, Proposed Rule, Uncategorized, USCIS, USCIS Public Engagement

Today, OMB published the bi-annual Unified Regulatory Agenda. This important transparency tool reflects agency rulemaking updates and plans for the immediate future. The updates are broad and encompass all areas of rulemaking. The dates provided by the agency are best thinking at the time and are subject to change. For purposes of this blog, we… Continue Reading

SEC and FINRA Continue to Root Out Bad Brokers

By William Mack and Dale Rose Goldstein on August 1st, 2017 Posted in Investment, Securities Law

On Thursday, July 27, regulators and industry professionals gathered in Washington, D.C. to discuss the current regulatory environment, cybersecurity, and other hot topics at the SEC and FINRA’s 2017 National Compliance Outreach Program for Broker-Dealers. The panelists, including SEC Commissioner Michael Piwowar, FINRA President and CEO Robert Cook, and Susan Axelrod, the Executive Vice President of… Continue Reading