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Risk Mitigation Private Placements

EB-5 Due Diligence Matters

by Mintz Levin on

Private placement offerings are an increasingly active part of the securities business. One especially complicated and emerging area of private placements is the EB-5 Investor Visa Regional Center Program. Under the current...more

FINRA Issues 2013 Regulatory and Examination Priorities Letter

by Baker Donelson on

Overview: On January 11, 2013, the Financial Industry Regulated Authority (FINRA) issued its 2013 Annual Regulatory and Examination Priorities Letter (Priorities Letter). This letter is issued annually to highlight...more

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