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
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financial regulatory and compliance
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