Debbie Klis

Debbie Klis

Ballard Spahr LLP

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Ill-equipped or Ill-researched? A letter to the editor of Fortune Magazine

There’s an irony in Fortune Magazine’s July 24, 2014, article “The dark, disturbing world of the visa-for-sale program.” The article accuses foreign EB-5 investors of being “ill-equipped (or disinclined) to assess the...more

8/25/2014 - Business Plans EB-5 Foreign Investment Job Creation Offerings Residency Status Risk Assessment Securities USCIS Visas

Investment Management Update

In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more

7/11/2014 - 401k Anti-Retaliation Provisions Enforcement Actions ERISA EU Investment Advisers Act of 1940 Municipal Advisers Mutual Funds Sarbanes-Oxley SCOTUS SEC Section 15(c) Settlement TFEU

Investment Management Update

Following two recent cases involving investment advisers and social media, the SEC recently issued guidance regarding whether the publication of comments about investment advisers on social media sites would violate those...more

4/29/2014 - Fraud Investment Adviser Investment Advisers Act of 1940 SEC

SEC Proposes Long Awaited Crowdfunding Rules

The Securities and Exchange Commission recently voted unanimously to propose rules that, for the first time, would allow investors to buy stock in companies over the Internet using a crowdfunding exchange. The proposed rules...more

10/28/2013 - Crowdfunding JOBS Act SEC Securities Act of 1933

SEC Acts To Eliminate Prohibition on General Solicitation and Expand 'Bad Actor' Disqualifications

The Securities and Exchange Commission (SEC) took long-awaited action on July 10, 2013, to finalize and adopt new rules that eliminate the current prohibition against general solicitation and advertising in certain Rule 506...more

7/12/2013 - Advertising Compliance Dodd-Frank General Solicitation JOBS Act Private Placements Regulation D Robocalling Rule 506 Offerings SEC

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