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
- 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
Find this course for your license:
License or Certification
Regulator
Type