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Results: 1-10 of 308

New FINRA Rule 2040 becomes effective
  • Greenberg Traurig LLP
  • USA
  • August 25 2015

Yesterday, new FINRA Rule 2040 became effective. The rule was approved by the SEC earlier this year. Rule 2040(c) requires a broker-dealer who sells


U.S. Securities and Exchange Commission investigates Washington-based regional center
  • Greenberg Traurig LLP
  • USA
  • August 25 2015

The U.S. Securities and Exchange Commission (“SEC”) filed a civil fraud suit on August 24, 2015 against a Seattle developer, who had raised $125


Who can source investors for EB-5 projects: the world of finders, consultants, attorneys, and broker dealers
  • Greenberg Traurig LLP
  • USA
  • August 5 2015

Use of EB-5 as part of the capital stack for an EB-5 project is a highly complicated prospect. Identifying the right Regional Center or forming a


Little known Florida statute affects securities issuers that do business in Cuba
  • Greenberg Traurig LLP
  • Cuba, USA
  • July 21 2015

While diplomatic relations between the United States and Cuba continue to normalize, issuers of securities sold in Florida should be mindful of a


SEC charges two businesses for acting as unlicensed broker-dealers in EB-5 sales
  • Greenberg Traurig LLP
  • USA
  • June 24 2015

Yesterday, the U.S. Securities and Exchange Commission (SEC) ordered a US-based foreign finder operation to cease and desist from operation as an


Activism and election contests: some facts, practice tips, defense strategies, tactics and legal considerations
  • Greenberg Traurig LLP
  • USA
  • May 19 2015

Stockholder activism is no longer a sideline venture. It’s a legitimate asset class, a source of outsized returns for institutional investors, a core


New SEC cybersecurity guidance for investment advisers and fund managers
  • Greenberg Traurig LLP
  • USA
  • May 18 2015

The Securities and Exchange Commission (SEC) continues to focus on cybersecurity. In April 2015, the SEC's Division of Investment Management issued


U.S. commerce department benchmark survey for U.S. direct investment abroad (BE-10) deadline approaching-due May 29 or June 30, 2015
  • Greenberg Traurig LLP
  • USA
  • May 15 2015

The Department of Commerce's Bureau of Economic Analysis (BEA) collects information and produces statistics on certain U.S. investment abroad and


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