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.
Find this course for your license
License or Certification
Regulator
Type
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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S2-32 - Framework