Tag Archives: broker dealer

SEC Issues Cease and Desist Order To “EB-5” Investment Companies For Acting As Unregistered Broker-Dealers – Why It Matters To The Crowdfunding Industry

Last week the U.S. Securities and Exchange Commission (SEC) issued  a Cease and Desist Order (the “Order”) against two related companies for acting as unregistered broker-dealers in connection with the sale of securities under the “EB-5” Investor Program (also sometimes … Continue reading

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