Due to the complex intersection of real estate, corporate, securities and immigration law (among others), an investment in a company under the EB-5 Program can be a complicated affair. One
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Broker Dealer
Not Every Broker-Dealer is an EB-5 Broker-Dealer
By William Mack on
Posted in EB-5 Investment, Securities Law
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…
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GT Investment Regulation Update – April 2013
By Greenberg Traurig on
Prepared by: Arthur Don | Steven M. Felsenstein
The Investment Regulation Update is a periodic publication providing key regulatory and compliance information relevant to broker-dealers, investment advisers, private funds, registered investment companies and their independent boards, commodity trading advisers, commodity pool operators, futures commission merchants, major swap participants, structured product sponsors and financial institutions.
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Use of Broker-Dealers in EB-5 Offerings
By Kate Kalmykov on
From time-to time the U.S. Securities and Exchange Commission decides to remind everyone about what is necessary to comply with a provision of the securities laws. A…
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