Ensuring securities compliance has been a major component of proposed EB-5 reform legislation, and fees paid to third party promoters and agents have been the focus of ongoing scrutiny from the SEC.

“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:


NES Financial is a Specialty Financial Administrator which serves sectors characterized by high administrative complexity, increased transaction security needs, and challenging regulatory compliance requirements. The company’s purpose-built solutions streamline the administrative processes of these markets — simplifying specialized financial transactions, curtailing fraud and abuse, and ensuring the utmost in security, transparency and regulatory compliance through each step of an investment’s life cycle.

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