Private Placements, Volume 2

Overview

This course discusses private placements, the rules surrounding these products, and consequences for failure to abide by those rules. 

Learning Objectives

Upon completion of this course, you should:

  • Be able to describe and define a private placement;
  • Understand your regulatory obligations in private placements; and
  • Understand the rules surrounding private placements.

Designed For

Registered Representatives
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