We have access to wealthy foreign investors and are now looking at the EB-5 program, considering acting as brokers bringing investors and projects together as a part of our business. Is there a resource that we can access to obtain information regarding introducing investors to projects, fees we can earn in doing so, licensing requirements, if any, etc.? Are there any restrictions or currently accepted practices as to charging fees to the investor for matching with a project?
SEC brokers/dealers govern the activities in the United States. It is best to consult an experienced securities attorney.
SEC Broker/Dealer regulations generally govern these activities in the U.S., I would recommend speaking with a corporate securities attorney first to determine what you would need to ensure compliance, our EB-5 team can assist.
There is no central resource with this kind of information. Also, SEC regulations apply to broker-dealer transactions. You should consult with a securities lawyer who has experience in EB-5 matters.
You are generally required to be a licensed broker not to run afoul of SEC regulations. Please consult a securities attorney knowledgeable in EB-5.
Normally, raising money for projects requires a broker/dealer license from the SEC. We can gladly help you.
You must be a licensed broker to act as a finder in the U.S. Otherwise, you will be in violation of the SEC rules and regulations. You may want to consult a security attorney as to your questions.
This is a very sensitive topic with very strict restrictions that have to abide by the security exchange commission laws. We can talk about this over the phone if you''d like.
In the China market, where most investors are working with broker agents, many of them have developed a level of sophistication regarding EB-5 legal issues. A project that meets the bare minimum legal requirements may have little chance in the marketplace. Projects relying on challenged economic methodologies (tenant occupancy or visitor spending as examples) may have difficulty finding investors. Investors like to see job projection in excess of the amount required for the number of investors. The more job projection, the better. However, to utilize broker agents in China can cost up to $100,000 USD per investor referred. For developers who are considering establishing regional centers or pooled investments, Brian Su is quite popular in this EB-5 marketing area.
There is a list of regional centers on the uscis.gov website, and there are consulting companies that have sprung up around EB-5 which will evaluate investment projects for a fee.
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