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EB-5 Reports, Products, Guides, Books

Brookings Institute EB-5 Report
Free
this is the Brookings Institute EB-5 Report
EB5Info Report on Project Insurance
Free
EB5Info Report on Project Insurance
EB-5 Investment Report Interview
Free
EB-5 Investment Report interview with USAdvisor's Managing Director Michael Gibson
An Economic Analysis of All Aboard Florida
Free
All Aboard Florida (AAF) proposes building a 220-mile line connecting the Miami area with Orlando via long-distance train. This study analyzes the market for this mode of transportation, as compared with alternative travel options, to project fares and annu...
Jeh Johnson letter to Senators Grassley & Leahy
Free
April 27, 2015   The Honorable Charles E. Grassley Chairman Committee on the Judiciary United States Senate Washington, DC 20510   The Honorable Patrick J. Leahy Ranking Member Committee on the Judiciary United States Senate...
Chinese Investment in the United States 2015
Free
Executive Summary  Between 2011 and 2013, the value of China’s mergers and acquisitions (M&A) in the United States exceeded the value of U.S. M&A deals in China.1 While it is too early to call this a permanent turning point, Chinese companies are poised ...
USCIS Feb. 2014 Stakeholder's Call Executive Summary
Free
Executive Summary  A Discussion about the EB-5 Immigrant Investor Program Teleconference  Public Engagement Division | CSPED | USCIS | DHS February 26, 2014  On February 26, 2014, U.S. Citizenship and Immigration Services (USCIS) hosted a stakehold...
Inspector General Report: Investigation findings on USCIS Sec. Mayorkas
Free
Introduction and Summary We undertook this investigation after receiving allegations from career U.S. Citizenship and Immigration Services (USCIS) employees that Alejandro Mayorkas, then-Director of USCIS and current Deputy Secretary of the Department of...
Perils of Using Unregistered Finders in Securities Transactions
Free
The story of last year’s Chapter 11 filing by Neogenix Oncology Inc. is a stark reminder to issuers of securities of the dangers of using unregistered “finders” or “business brokers” to assist in the offer or sale of securities. As we noted in our August 25...
FINRA Files New Rules Governing Member Payments to Unregistered Persons
Free
On September 25, 2014, the Financial Industry Regulatory Authority (“FINRA”) filed a proposed rule change with the Securities and Exchange Commission (“SEC”) to modify existing rules that govern FINRA members’ ability to make payments to unregistered person...
Capital Raising Using Unregistered Finders and Financial Consultants
Free
Corporate clients generally are convinced that with sufficient funding their enterprises will succeed. Nevertheless, obtaining that capital often is elusive. In many cases, an enterprise is not sufficiently advanced for traditional sources of capital to be ...
Recent SEC Focus on the Internal Marketing Activities of Private Funds
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I. Comments by the SEC on Marketing of Private Funds Last Friday, April 5, 2013, at an American Bar Association conference in Washington, D.C., David Blass, the Chief Counsel of the Securities and Exchange Commission’s (the “SEC”) Division of Trading and...
FINDERS SLEEPERS: WHY RECENT STATE REGULATION OF FINANCIAL INTERMEDIARIES SHOULD ROUSE THE FEDERAL GOVERNMENT FROM ITS SLUMBER
Free
America tends to notice only its most glaring deficiencies. Even so, the call for reform only grows louder when such deficiencies personally affect the privileged masses. From the plummeting value of the American dollar to the skyrocketing prices at the pum...
Still Room for Finders? Courts Question SEC View of Broker Activity
Free
Many small to mid-size businesses are approached by ‘‘finders’’ who offer to introduce them to potential investors in exchange for a fee based on a percentage of the amount raised if the investors invest. Many of these finders operate without registering as...
FINRA Proposes New Rules Governing Member Payments to Unregistered Broker-Dealers
Free
On December 2, 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed for public comment new rules that would govern FINRA members’ ability to make payments to persons that are not associated with the member and persons subject to discipline o...
Capital Raising in the U.S.: An Analysis of Unregistered Offerings Using the Regulation D Exemption, 2009‐2012
Free
In 2012, we issued a report on capital raising in the U.S. through unregistered offerings, using information extracted from Form D filings received by the U.S. Securities and Exchange Commission since the beginning of 2009 through the first quarter of 2011....
LIABILITIES UNDER THE FEDERAL SECURITIES LAWS
Free
This outline deals with certain of the liability provisions of the federal securities laws: §§ 11, 12, 15 and 17 of the Securities Act of 1933 (the Securities Act), and §§ 10, 18 and 20 of the Securities Exchange Act of 1934 (the Exchange Act). It does not ...
FINRA Regulatory Notice : Payments to Unregistered Persons
Free
As part of the process to develop a new consolidated rulebook (the Consolidated FINRA Rulebook),1 FINRA is requesting comment on a proposed FINRA rule regarding payments to unregistered persons. Proposed FINRA Rule 2040 (Payments to Unregistered Persons) wo...
FINRA : 2040 (Payments to Unregistered Persons)
Free
On September 10, 2014, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’ or ‘‘Exchange Act’’)...
FINRA Regulation of Private Offerings
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FINRA (and its predecessor, the National Association Securities Dealers, the “NASD,” for convenience jointly referred to here as FINRA) for many years avoided meaningful regulation of the substance of private offerings. Examiners would periodically look at ...
FINRA : SEC Approves Consolidated FINRA Rules 2040
Free
The SEC approved FINRA’s rule change1 to adopt rules relating to payments to unregistered persons for the consolidated FINRA rulebook,2 FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, or R...
FIVE FACTS AN ISSUER SHOULD CONSIDER BEFORE PAYING A FINDER’S FEE
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For reasonable cost, simplicity and convenience, the appeal to a securities Issuer of a finder’s fee for capital raised sounds tempting. Hungry to raise capital, fledgling securities Issuers, however, may leap too quickly at promises for lowcost investor...
Wake-Up Call for Unregistered Solicitors and the Managers That Hire Them
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The practice of marketing interests in private investment funds through solicitors that are not registered as brokers under federal or state law is widespread. In some cases, a solicitor will, in fact, fall outside the broker regulatory schemes or qualify f...
Finders, weepers : GPs should keep unregistered broker dealers away from deals.
Free
Startup Inc., an early stage company, is seeking venture capital. The CEO’s lack of contacts has led to difficulty in securing meetings with VCs. He meets Joe Shady, a finder. Shady talks up his Rolodex and offers access to “every VC worth contacting.” Shad...
Using Finders to Assist in Financings: Understanding the Risks Associated with Unregistered Broker-Dealers
Free
For early-stage companies in need of capital, finding potential investors can be difficult and time-consuming, especially when conditions in the capital markets are tight. For many companies, using a “finder,” an individual or entity that identifies, introd...
Rescission Offers Under Regulation D
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A rescission offer is an offer to rescind a transaction in which a securities violation occurred or is believed to have occurred. If a sponsor believes that it may have securities law liability arising out of an offering, and has the financial resources to ...
Private Equity Group and Former Senior Executive Charged by the SEC for Using Unregistered Broker Dealer: Implications for Private Funds and Other Issuers and Their Investors
Free
On March 11, 2013, the Securities and Exchange Commission (“SEC”) announced charges against New York-based private equity firm Ranieri Partners, a former senior executive, Donald W. Phillips (“Phillips”), and an unregistered broker, William M. Stephens (“St...
A View of EB-5 Program Issues from a Top SEC Enforcement Official
Free
As participation in the U.S. Citizen and Immigration Services (USCIS) Immigrant Investor Program or “EB-5 program” grows, regulatory interest is showing a commensurate uptick. On November 20, 2013, Associate Director Stephen Cohen of the SEC’s Division of E...
SEC : CAPITAL FORMATION MAKING "FINDERS" VIABLE
Free
Individuals or entities acting as unregistered financial intermediaries, "finders" or "investment bankers" (hereinafter "finders") constitute a major problem in corporate finance transactions and in the area of mergers and acquisitions. The vast majority of...
SEC : Registratlon Requlrements for Foreign Broker-Dealers
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The Commission is adopting proposed Rule 15a-6. which provides exemptions from broker-dealer registration for loreign entities engaged in certain activities involving U.S. investors and securities markets. The final rule incorporates the proposed interpreti...



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This website is for informational purposes only and does not constitute an offer or solicitation to sell shares or securities. Any such offer or solicitation will be made only by means of an investment's confidential Offering Memorandum and in accordance with the terms of all applicable securities and other laws. This website does not constitute or form part of, and should not be construed as, any offer for sale or subscription of, or any invitation to offer to buy or subscribe for, any securities, nor should it or any part of it form the basis of, or be relied on in any connection with, any contract or commitment whatsoever. EB5Projects.com LLC and its affiliates expressly disclaim any and all responsibility for any direct or consequential loss or damage of any kind whatsoever arising directly or indirectly from: (i) reliance on any information contained in the website, (ii) any error, omission or inaccuracy in any such information or (iii) any action resulting therefrom.