Steve Ganis

Steve Ganis

Mintz Levin

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Latest Posts › Broker-Dealer


FINRA Provides Guidance on the Applicability of the Suitability Rule to Broker-Dealers Marketing Private Placements in the EB-5...

In an interpretive letter to a broker-dealer dated August 26, 2013, FINRA (Financial Industry Regulatory Authority) interpreted the suitability requirements under Rule 2111 for recommendations to foreign nationals making...more

9/17/2013 - Broker-Dealer EB-5 FINRA Foreign Investment Suitability Rule Visas

Two Recent SEC No Action Letters Establish Standards for Crowdsourcing Online Platforms Limited to "Accredited Investors" to Avoid...

In two recent no action letters, the Securities and Exchange Commission (the “SEC”) granted no action relief for two venture capital online funding platforms, the FundersClub, Inc. (“FundersClub”) and AngelList, LLC...more

4/11/2013 - Accredited Investors AngelList Broker-Dealer Carried Interest No-Action Letters Private Placements SEC Securities Exchange Act

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