Reg D fundraising - Series 7

or Register to post new content in the forum

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Nov 25, 2018 4:36 am

If there is a better place to post this please let me know. If someone wants to fundraise for a non public company in a 506 reg d. Do they need a series 7 in all situtations. I am talking about working for the company not fundraising in terms of selling equity at a third part broker.

If so what is the typical path for someone who wants to pursue this. For instance tech firms where the person isnt going to be working at a broker, what is the norm? Thanks.