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
Will Mack
SEC Charges Two Businesses for Acting as Unlicensed Broker-Dealers in EB-5 sales
By William Mack on
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