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
Continue Reading Regulatory Bodies with Oversight of an EB-5 Investment
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…
Continue Reading Not Every Broker-Dealer is an EB-5 Broker-Dealer
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.Continue Reading GT Investment Regulation Update – April 2013
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…
Continue Reading Use of Broker-Dealers in EB-5 Offerings