IIUSA Blog

EB-5 Regional Center Industry News & Analysis

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23 Sep, 2013

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

September 23rd, 2013|Categories: Financial Industry Regulatory Authority (FINRA), Government Affairs, Research / Analysis, Securities Law|Tags: |

By Jackie G. Prester, Shareholder, & Robert C. Divine (IIUSA Vice President), Head of Global Immigration Practice Baker Donelson, Bearman, Caldwell & Berkowitz, P.C. FINRA has clarified that its Suitability Rule applies to broker dealers' assessment of EB-5 transactions, but that the [...]