Saturday, January 14, 2012

I am raising money for a private equity fund and do not have a securities license. Is there a way around that?

I am raising money for a limited partnership that will be an alternative type of investment fund. I am the soliciting broker for the managing partner of the fund. The primary equity sources are private equity firms and other funds. I do not have a securities license but I have read SEC regulations and there seems to be a bit of a gray area. Can someone in the industry shed some light on ways of successfully recruiting the capital with out being in breach of SEC regulations? Thank you.

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