Who is required to register as a broker-dealer to conduct an EB-5 offering? - EB5Investors.com
Questions & Answers > EB-5 Capital Fundraising

Who is required to register as a broker-dealer to conduct an EB-5 offering?

Who is required to register as a broker-dealer to conduct an EB-5 offering outside the United States?

Click here for a Free Evaluation

Answers

Ed Beshara

Ed Beshara

Find an EB-5 Visa Lawyer: Immigration Attorney
Answered on

Broker dealers are registered with the SEC and governed by FINRA. The broker dealer is permitted to market and sell securities, and if they refer investors to the project, they can legally receive the finder''s fee from the project. In addition, it is advisable that agents overseas should direct their marketing efforts under the control and supervision of the broker dealer.

Salvatore Picataggio

Salvatore Picataggio

Find an EB-5 Visa Lawyer: Immigration Attorney
Answered on

From my understanding as an immigration attorney only, anyone soliciting the sale of securities should be registered.

DISCLAIMER: the information found on this website is intended to be general information; it is not legal or financial advice. Specific legal or financial advice can only be given by a licensed professional with full knowledge of all the facts and circumstances of your particular situation. You should seek consultation with legal, immigration, and financial experts prior to participating in the EB-5 program. Posting a question on this website does not create an attorney-client relationship. All questions you post will be available to the public: do not include confidential information in your question.