Course Information

FINRA e-Learning

FINRA: Private Placements: Conducting Reasonable Investigations for Regulation D Offerings

Overview

This course uses case studies adapted from FINRA enforcement actions to illustrate the duty to conduct reasonable investigations concerning Regulation D offerings. It covers the use of private placements as a source of capital and sales practice abuses that can occur with such securities.

Summary Details

Hours

1.0

Price

$18.00

This course is not subject to discount pricing.

Learning Objectives

recognize your duty to conduct a reasonable investigation concerning Reg D securities and the issuer's representations
understand Reg D and the exemptions offered under its rules
know the use of private placements as a source of capital
recognize sales practice abuses that can occur with Reg D offerings

Designed For:

Registered representatives and registered principals

Course Information

Adding additional credit may change exam requirements.

Access Period:	12 months
Prerequisites:	None
Delivery Method:	Self-Study
PDF Download:	Not Available
Provider of Record:	FINRA
Provider Number:	Approved
Approved For:	Firm Element

Exam

Proctor:	No
Passing Grade:	70
Questions:	10

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