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Results: 1-10 of 166

U.S. securities regulators take notice of EB-5

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • April 7 2015

After a nationwide conference call of industry participants sponsored by agencies of the U.S. government and several years of cautionary discussions

SEC adopts Regulation A: two new alternatives for exempt capital raises

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • April 2 2015

Executive Summary On March 25, 2015, the U.S. Securities and Exchange Commission (the "SEC" or the "Commission") adopted final rules implementing

Supreme Court issues guidance on disclosure of opinions in registration statements

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 26 2015

In a highly anticipated opinion issued earlier this week in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, 575 U.S

SEC reminds the fund industry that gifts may violate the 1940 Act, not just the code of ethics

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 23 2015

Late last month, the staff of the SEC’s Division of Investment Management released Guidance Update No. 2015-01 (February 2015), reminding the

Myth vs. fact: responses to arguments against the EB-5 pilot program

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • March 13 2015

Buy a Green Card The EB-5 program was established to help high-net-worth individuals buy a green card. Fact: The EB-5 program is a highly regulated

Georgia investment advisor launches Article II constitutional challenge to the SEC’s use of ALJs and seeks discovery

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 20 2015

Yesterday, Gray Financial Group, Inc. ("Gray"), an Atlanta based investment advisor and Greenberg Traurig client, and two of its officers filed a

SEC, FINRA issue reports on cybersecurity

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • February 5 2015

In the wake of recent cybersecurity breaches, the SEC and FINRA simultaneously issued reports this week to the securities industry summarizing

SEC proposes amendments to registration requirements further implementing the JOBS Act

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 21 2015

On Dec. 18, 2014, the Securities and Exchange Commission (SEC) proposed amendments to current rules under Section 12(g) of the Securities Exchange Act

SEC announces 2015 examination priorities

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 15 2015

On Jan. 13, 2015, the Office of Compliance Inspections and Examinations released its annual list of examination priorities for 2015. A copy of the

Payments to unregistered persons the next round

  • Greenberg Traurig LLP
  • -
  • USA
  • -
  • January 14 2015

The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and