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

Course Description

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.

Learning Objective(s)

By taking this course you will be able to:

  • 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; and
  • Recognize sales practice abuses that can occur with Reg D offerings.

Complexity

Intermediate