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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


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