“Individuals and entities performing certain services and receiving commissions must be registered to legally operate as securities brokers if they’re raising money for EB-5 projects,” said Andrew J. Ceresney, Director of the SEC Enforcement Division. “The lawyers in these cases allegedly received commissions for selling, recommending, and facilitating EB-5 investments, and they are being held accountable for disregarding the relevant securities laws and regulations.”
Leading EB-5 experts Robert Divine, Suzanne Lazicki, and Christian Triantaphyllis, discussed what the SEC is likely to look for when evaluating agent fees at the 2016 NES Financial EB-5 Innovation Summit.
To find out how to ensure your project complies with current SEC requirements, watch now:
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