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

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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.

Find this course for your license

License or Certification

Regulator

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.

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