Private Placement Overview

Overview

Private placement refers to the offer and sale of any security by a brokerage firm not involving a public offering. Private offerings are not subject to a registration statement filed with the Securities and Exchange Commission (SEC) under an exemption to the Securities Act of 1933 (1933 Act). One advantage of a private placement is its relatively few regulatory requirements. This course provides an overview of the rules, regulations and guidance surrounding private placements. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Describe the regulatory parameters for private placements
  • Explain the exemptions permitted under Regulation D
  • Explain the advantages and disadvantages of private placements
  • Describe the filing requirements for private placements
  • Explain the due diligence required on the part of brokers and investors 

Designed For:

Registered representatives and investment advisers 




Course Information

Adding additional credit may change exam requirements.