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The Act defines a “broker” as “any person engaged in the business of effecting transactions in securities for the account of others.” A “dealer” performs the same function for their own securities. As they have the same requirements whether selling for themselves or others, they are referred to as “broker-dealers”.
In an attempt to prevent fraudulent or misleading sales, broker-dealers are required to pass licensing exams and register with the Securities and Exchange Commission (SEC) and the states in which they conduct business. The SEC designated Financial Industry Regulatory Authority (FINRA) to manage individuals and firms in the securities business. As registered broker-dealers and FINRA members, broker-dealers are subject to extensive requirements and oversight.
When EB-5 Regional Centers properly offer investments as licensed broker-dealers, it removes a number of risks to the EB-5 investor, including:
All EB-5 investments offered by a licensed broker-dealer must be filed with FINRA under Rule 5123. Simply require a FINRA Rule 5123 Filing Receipt as a required due diligence item before engaging with an EB-5 promoter.
If customers can’t find it, it doesn’t exist. Clearly list and describe the services you offer. Also, be sure to showcase a premium service.
Having a big sale, on-site celebrity, or other event? Be sure to announce it so everybody knows and gets excited about it.
Are your customers raving about you on social media? Share their great stories to help turn potential customers into loyal ones.
Running a holiday sale or weekly special? Definitely promote it here to get customers excited about getting a sweet deal.
Have you opened a new location, redesigned your shop, or added a new product or service? Don't keep it to yourself, let folks know.
Customers have questions, you have answers. Display the most frequently asked questions, so everybody benefits.
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