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Question:

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As a regional center, to represent our projects to licensed overseas brokers, are we required to have a U.S. securities license? And if so, which series of license is required?

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Answers:

July 30, 2013 13:51 Ed Beshara

First, you should start by consulting with an experienced SEC attorney in respect to the EB-5 program. Second, there are current SEC concerns with overseas brokers having a U.S. relationship eg.office, and marketing the EB-5 project either overseas or in the U.S. In this case it would be advisable for the Broker to have an Investment Advisor and/or Broker / Dealer license especially if the broker desires to accept finders fees from the EB-5 project.

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