Photo of Leisel O. Greig ˘

Leisel O. Greig ˘ is a Corporate Practice Law Clerk/JD based in Greenberg Traurig's Northern Virginia office.

˘ Not admitted to the practice of law.

If enacted, the Unlocking Capital Act would establish two investment professional categories—private placement brokers and finders. The legislation would allow these professionals to engage in many activities that, due to

Continue Reading Proposed Legislation Would Create a Tiered Exemption from Broker Registration

On Jan. 10, 2023, the Financial Regulatory Authority (FINRA) released its 2023 Report on FINRA’s Examination and Risk Monitoring Program (“Report”) in which it identifies the year’s areas of examination

Continue Reading 2023 Report on FINRA’s Examination and Risk Monitoring Program