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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...
Jeh Johnson letter to Senators Grassley & Leahy
Free
April 27, 2015   The Honorable Charles E. Grassley Chairman Committee on the Judiciary United States Senate W...
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 ...
USCIS Feb. 2014 Stakeholder's Call Executive Summary
Free
Executive Summary  A Discussion about the EB-5 Immigrant Investor Program Teleconference  Public Engagement Division | CS...
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 Immigr...
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 danger...
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 a...
Capital Raising Using Unregistered Finders and Financial Consultants
Free
Corporate clients generally are convinced that with sufficient funding their enterprises will succeed. Nevertheless, obtaining ...
Recent SEC Focus on the Internal Marketing Activities of Private Funds
Free
I. Comments by the SEC on Marketing of Private Funds Last Friday, April 5, 2013, at an American Bar Association conference i...
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 deficienci...
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 ...
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 gov...
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 For...
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 Securit...
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 o...
FINRA : 2040 (Payments to Unregistered Persons)
Free
On September 10, 2014, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commiss...
FINRA Regulation of Private Offerings
Free
FINRA (and its predecessor, the National Association Securities Dealers, the “NASD,” for convenience jointly referred to here a...
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 ru...
FIVE FACTS AN ISSUER SHOULD CONSIDER BEFORE PAYING A FINDER’S FEE
Free
For reasonable cost, simplicity and convenience, the appeal to a securities Issuer of a finder’s fee for capital raised sounds ...
Wake-Up Call for Unregistered Solicitors and the Managers That Hire Them
Free
The practice of marketing interests in private investment funds through solicitors that are not registered as brokers under fed...
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 ...
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 ...
Rescission Offers Under Regulation D
Free
A rescission offer is an offer to rescind a transaction in which a securities violation occurred or is believed to have occurre...
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 ...
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, regul...
SEC : CAPITAL FORMATION MAKING "FINDERS" VIABLE
Free
Individuals or entities acting as unregistered financial intermediaries, "finders" or "investment bankers" (hereinafter "finder...
SEC : Registratlon Requlrements for Foreign Broker-Dealers
Free
The Commission is adopting proposed Rule 15a-6. which provides exemptions from broker-dealer registration for loreign entities ...





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