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Epstein Becker & Green

Five Key Issues Confronting Financial Services Industry Employers

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Employers in the financial services industry are faced with a growing number of employment law challenges. Whistleblower complaints are on the rise as regulatory agencies become more aggressive in their efforts to encourage...more

Baker Donelson

FINRA Issues Guidance on Suitability Rule for EB-5 Securities Transactions

Baker Donelson on

FINRA has clarified that its Suitability Rule applies to broker dealers' assessment of EB-5 transactions, but that the broker can and should assess the immigration benefit among the economic interests of the investor. ...more

Sheppard Mullin Richter & Hampton LLP

FINRA Raises the Bar on Due Diligence by Broker Dealers Involved in EB-5

Sheppard Mullin Richter & Hampton LLP on

At the end of August, the Financial Industry Regulatory Authority, Inc. (FINRA) issued an interpretive guidance letter to a registered broker dealer (BD), Trustmont Financial Group, Inc. (Trustmont). Trustmont had sought...more

Mintz

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

Mintz on

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

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