Overview
This course discusses private placements, the rules surrounding these products, and consequences for failure to abide by those rules.
Learning Objectives
Upon completion of this course, you should:
- Be able to describe and define a private placement;
- Understand your regulatory obligations in private placements; and
- Understand the rules surrounding private placements.
Designed For
Registered Representatives
Find this course for your license:
License or Certification
Regulator
Type