Private Placements

Overview

This course will discuss private placements, the rules surrounding these products, and consequences for failing to abide by those rules.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Describe and define a private placement
  • Understand suitability obligations concerning private placements
  • Understand the rules and regulations surrounding private placements

Designed For:

Retail and institutional registered representatives




Course Information

Adding additional credit may change exam requirements.