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Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Stateside Hotel at Jay Peak.  The ribbon was cut Wednesday afternoon on the last major development at Jay Peak, coming just a few months before the resort is expected to hit the market in search of a buyer. The 800-plus EB-5 investors wh...
Michael Goldberg at a Statehouse news conference in April.  EB-5 investors who lost out on obtaining green cards when a proposed $110 million biomedical research facility in Newport was deemed by regulators “nearly a complete fraud” now hav...
SLS Las Vegas is pictured on Wednesday, May 31, 2017. The Culinary Union has called on Nevada gaming regulators to investigate the legality of Alex Meruelo’s purchase of the SLS Las Vegas amid tough labor negotiations with the Reno-based bu...
Full details available only for registered and approved users.
  A courtesy rendering of the never-built AnC Bio facility proposed for Newport. Investors in this EB-5 project now will get a chance to invest in a different project in New York City. by Timothy McQuiston Vermont Business Magazine One o...
Full details available only for registered and approved users.
Full details available only for registered and approved users.
Dive Brief: The nonprofit development company tasked with managing the New York City-owned Brooklyn Navy Yard is planning a $2.5 billion, 5.1-million-square-foot expansion that it says will transform the historic shipyard into a creative...
Farms & Market, the city’s first year-round farmers market and kitchen, will have its grand opening March 1, but opened to the public Feb. 5.  “We’re really excited that we’re finally at this point and that we’re gearing up to open our door...
Full details available only for registered and approved users.
The Securities and Exchange Commission today announced that the Miami-based businessman behind an alleged scheme involving investments in a Vermont-based ski resort has agreed to pay back more than $81 million of investor money that he used il...
Full details available only for registered and approved users.
Las Olas Ocean Resort, which is being built by the sea in Fort Lauderdale, South Florida, faces a foreclosure sale with 60 Chinese EB-5 investment immigrants. Bancorp Bank, which provided a loan of $ 50 million to the construction p...
Rendering of Building 77 at the Brooklyn Navy Yard and Clare Newman  Project will add 5.1M sf to the Tech Triangle site The Brooklyn Navy Yard will undergo a $2.5 billion development plan that will add an additional 5.1 million square fe...

Securities Alerts: SEC & FINRA News, Articles

One thing is known about immigration law in 2018: it will bring many unknowns.  Since the current administration assumed power in January of 2017, Norris McLaughlin's Immigration Practice Group has reported countless (nearly daily) changes to immi...
The EB-5 program has grown substantially in recent years, increasing foreign direct investment in the U.S., supporting tens of thousands of new jobs for U.S. workers, and driving development in communities across the country. However, recent is...
Last month, the United States District Court in the Eastern District of Pennsylvania (Philadelphia) ordered a default judgment against an interest in a limited partnership connected with an EB-5 investment. This otherwise obscure judgment is a...
Introduction Under the Securities Act of 1933 (the "1933 Act") every offer or sale of securities must either be registered or exempt from registration. Section 5 of the 1933 Act. One of the most significant and prevalent exemptions is conta...
This Note discusses broker-dealers' affirmative obligation to conduct a reasonable investigation when recommending securities sold in offerings exempt from SEC registration under Regulation D of the Securities Act of 1933. The Note explains th...
Foreign Finders The longstanding rules on foreign finders – when a brokerage firm can pay transactionbased compensation to a non-registered foreign finder – will be incorporated into new FINRA Rule 2040, effective August 24, 2015. This...
FINRA Regulatory Notice 15-07 informs broker-dealer FINRA members (“members”) of the expanded governance regarding payments to unregistered persons for securities-related and capital-raising activities.  The Notice alerts members to the SEC ap...
The Financial Industry Regulatory Authority released Regulatory Notice 15-07 to alert member firms of the new consolidated rules regarding payments to unregistered persons and membership. The notice also alerts member firms of amendments to a ...
FINRA Rule 2040 governs the payment of transaction-based compensation by member firms to unregistered persons. Rule 2040(a) – General. Rule 2040(a) directs persons to look to SEC rules to determine whether the activities in question requ...
  FINRA Rule 2040 governs the payment of transaction-based compensation by member firms to unregistered persons. Rule 2040(a) – General. Rule 2040(a) directs persons to look to SEC rules to determine whether the activities in question...
FINRA has issued a regulatory notice on new consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and on amendments to FINRA Rule 8311 (Eff...
The U.S. Securities and Exchange Commission is expanding a crackdown on a little-known program to dole out visas to wealthy foreigners in exchange for investments that generate jobs. The SEC is preparing sanctions against as many as two dozen imm...
The Securities and Exchange Commission recently approved the Financial Industry Regulatory Authority’s (FINRA’s) proposed Rule 2040 regarding Payments to Unregistered Persons. Section (a) of the Rule prohibits members or associated persons fro...
The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and capital-raising activities has grown significantly. On Dec. 30, 2014, the U.S. Securities and Exchange Co...
The role of the Financial Industry Regulatory Authority (FINRA) in dealing with payments to unlicensed persons for securities-related and capital-raising activities has grown significantly. On Dec. 30, 2014, the U.S. Securities and Exchange Co...
Companies seeking capital are frequently approached by intermediaries who offer to locate investors in exchange for a fee.  Most intermediaries also known as “finders” are not registered as broker-dealers with the Securities and Exchange Commi...
FINRA filed a proposed rule change with the SEC to adopt FINRA Rule 2040 regarding the payment of transaction-based compensation by FINRA member broker-dealers to unregistered persons. FINRA has also proposed amending FINRA Rule 8311 and ad...
The SEC recently settled an enforcement action against an individual alleged to have sold millions of dollars in securities on behalf of oil and gas companies without being associated with a registered broker dealer, as required by Section 15(...
Your good client, Avery Phillips, Chairman of the Board, calls you because he is considering engaging a friend, Tepper, to identify potential investors for his company. Phillips explains that Tepper has extensive business contacts and that he ...
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...

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