Legal Question in Securities Law in New York

An australian Private equity firm will be helping US Publically traded company for expansion of a company in USA by gving capital to publically traded company. The publically traded company will be paying me introduction fee as well as fees to prepare all required paper work and liason work.

Do I need any license in USA to do this work?

Asked on 2/02/11, 6:00 pm

1 Answer from Attorneys

Andrew May May Law, PC

It depends. What you need is a no-action letter to the SEC regarding your facts and circumstances. There is a chance that your particular situation may be able to take advantage of prior decisions by the SEC, but this payment would have to be one-time and a lot of hoops would need to be jumped through. Why don't you contact me offline to discuss this in further detail. My website is; it has all of my contact information.

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Answered on 2/10/11, 7:47 am

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