FINRA Issues Regulatory Guidance for Broker-Dealers’ Investigations in Private Placements


The Financial Industry Regulatory Authority (FINRA) recently issued new guidance1 for broker-dealers about their obligations regarding their due-diligence investigation of issuers and the securities they recommend in offerings made under the U.S. Securities and Exchange Commission?s Regulation D under the Securities Act of 1933 – also known as private placements.

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Published In: Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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