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Investment Regulation Update April 2013

Greenberg Traurig LLP
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USA
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April 19 2013

The Investment Regulation Update is a periodic publication providing key regulatory and compliance information relevant to brokerdealers, investment

SEC clarifies position on unregistered broker-dealer sponsors of internet funding networks

Greenberg Traurig LLP
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USA
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April 10 2013

In two recent "no-action" letters, the U.S. Securities and Exchange Commission (SEC) has established fairly clear rules regarding which Internet

U.S. Securities laws and the EB-5 Investor Program: the Securities and Exchange Commission’s perspective

Greenberg Traurig LLP
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USA
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April 5 2013

Yesterday, the Securities and Exchange Commission ("SEC") presented its views on the application of the U.S. federal securities laws to the EB-5

Social media may satisfy regulation FD but not without risk and preparation

Greenberg Traurig LLP
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USA
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April 5 2013

On April 2, 2013, the Securities and Exchange Commission (SEC) released a report of an investigation regarding whether the use of social media to

Use of broker-dealers in EB-5 offerings

Greenberg Traurig LLP
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USA
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March 13 2013

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

Considerations in underwriting the financial gap between filing and approval of the I-526 petition

Greenberg Traurig LLP
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USA
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March 3 2013

Currently, many special purpose entities that are formed to loan project companies capital under the EB-5 Program (commonly referred to as the "loan

NYSE sends letter to foreign private issuers

Greenberg Traurig LLP
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USA
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February 26 2013

Last week, the New York Stock Exchange's regulation group sent its traditional annual letter to foreign private issuers (FPIs) that are listed on the

Is the would-be arbitration claimant a brokerage firm “customer?” The Fourth Circuit says both “yes” and “no”

Greenberg Traurig LLP
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USA
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February 14 2013

It makes sense that a brokerage firm can only be forced to arbitrate claims by its customers for investment activity occurring at that brokerage firm

SEC weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC)

Greenberg Traurig LLP
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USA
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February 11 2013

On Wednesday, February 6, the U.S. Securities and Exchange Comission (SEC) brought a civil action alleging a myriad of SEC violations against A

Michigan’s new social media privacy law bucks the trend (and starts a new trend?) by allowing broker-dealers to comply with FINRA rules

Greenberg Traurig LLP
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USA
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February 7 2013

Beginning in 2012, several state legislatures have proposed new laws to restrict employers from requesting or requiring employees or applicants to

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Search results

Investment Regulation Update April 2013

SEC clarifies position on unregistered broker-dealer sponsors of internet funding networks

U.S. Securities laws and the EB-5 Investor Program: the Securities and Exchange Commission’s perspective

Social media may satisfy regulation FD but not without risk and preparation

Use of broker-dealers in EB-5 offerings

Considerations in underwriting the financial gap between filing and approval of the I-526 petition

NYSE sends letter to foreign private issuers

Is the would-be arbitration claimant a brokerage firm “customer?” The Fourth Circuit says both “yes” and “no”

SEC weighs in on Intercontinental Regional Center Trust of Chicago (IRCTC)

Michigan’s new social media privacy law bucks the trend (and starts a new trend?) by allowing broker-dealers to comply with FINRA rules

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