Private Placement 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. 

Learning Objectives

Upon completion of this course, you should be able to:

  • 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 

Find this course for your license:

License or Certification