Join GT Shareholders Kate Kalmykov and William Mack, along with America EB-5 Visa, LLC’s CEO Marko Issever, for an informative discussion about targeted investment with a FINRA-licensed broker-dealer.
The panel will
broker-dealer
When Can Futures Commission Merchants and Broker-Dealers Be Deemed Banks?
On March 21, 2019, in Whitaker v. Wedbush Securities, an Illinois appellate court for the first time addressed the liability of a futures commission merchant (FCM) or broker-dealer (BD)…
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FINRA Sends Targeted Exam Letter Concerning the Sale of Non-Traded Business Development Companies
FINRA recently sent a sweep letter (or targeted exam letter) to select broker dealers, inquiring about those firms’ sale of non-traded Business Development Companies (BDCs). BDCs are SEC-registered investment companies…
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Not Every Broker-Dealer is an EB-5 Broker-Dealer
Nearly all U.S. broker-dealers are members of the Financial Industry Regulatory Authority (FINRA). FINRA regulates, and provides oversight and guidance for its member firms. When a broker-dealer becomes a FINRA…
Continue Reading Not Every Broker-Dealer is an EB-5 Broker-Dealer