Does broker / Dealer registration necessary for Raising Capital for someone else?
Posted July 5th, 2010 by admin 2 Comments »
puma0808 asked:
A foreign entity has approached my consulting firm in the US to help them raise capital to fund a project in their country. We are a pure consulting firm and not registered as a broker/dealer. Is it necessary to be registered as a broker/dealer if we have to accept that business ?
A foreign entity has approached my consulting firm in the US to help them raise capital to fund a project in their country. We are a pure consulting firm and not registered as a broker/dealer. Is it necessary to be registered as a broker/dealer if we have to accept that business ?