Steve Ganis

Steve Ganis

Mintz Levin

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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

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