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.

Learning Objectives

Upon completion of this course, students 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
  • recognize sales practice abuses that can occur with Reg D offerings

Designed For

All registered representatives and registered principals
Find Courses Now