The Securities and Exchange Commission’s Division of Examinations (Division) announced its 2025 examination priorities (Exam Priorities) Oct. 21, 2024. These priorities address areas of concern based on recent examinations, and
Continue Reading SEC Division of Examinations 2025 Priorities
Please join Greenberg Traurig EB-5 securities, corporate, and immigration attorneys Jennifer Hermansky, Kate Kalmykov, Richard Cutshall, and William Mack to discuss agent registration under the EB-5 Reform
Continue Reading Nov. 15 WEBINAR | I-956K Requirements
The new Form I-956 and I-956 H contain a series of certifications and detailed personal information requirements with respect to the integrity and backgrounds of the owners, operators, and officers
Continue Reading What Does the New I-956 EB-5 Regional Center Designation Process Mean for Regional Center Investors?
FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge reference to a customer complaint from
Continue Reading FINRA Plans Major Changes to Expungement Rules
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
Continue Reading SEC and FINRA Continue to Root Out Bad Brokers
Nearly all U.S. broker-dealers are members of the Financial Industry Regulatory Authority (FINRA). FINRA regulates, and provides oversight and guidance for its member firms. When a broker-dealer becomes a FINRA
Continue Reading Not Every Broker-Dealer is an EB-5 Broker-Dealer
Last week, the U.S. Securities and Exchange Commission (SEC) announced a series of enforcement actions against lawyers across the country, charging them with offering EB-5 investments and receiving compensation while
Continue Reading SEC Charges Attorneys Across the Country for Acting as Unlicensed Securities Brokers
The EB-5 program provides foreign investors who demonstrate that their investments create a minimum level of required job creation in the United States with a potential avenue to lawful permanent
Continue Reading Are EB-5 Investments Considered Securities?
Yesterday, the U.S. Securities and Exchange Commission (SEC) ordered a US-based foreign finder operation to cease and desist from operation as an unlicensed broker-dealer. The charges are some of the
Continue Reading SEC Charges Two Businesses for Acting as Unlicensed Broker-Dealers in EB-5 sales