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Due Diligence › Section 5 › Financial Industry Regulatory Authority (FINRA)

Eversheds Sutherland (US) LLP

What Does It Take to Make the SEC Happy? SEC Criticism of Broker-Dealers’ Due Diligence for Sales of Unregistered Securities...

Eversheds Sutherland (US) LLP on

To ensure that broker-dealers (BDs) do not inadvertently facilitate an unlawful distribution of securities, the Securities and Exchange Commission has long required BDs to conduct a “reasonable inquiry” into the circumstances...more

Broker-Dealer Compliance + Regulation

Pre-IPO Selling Procedures Need to Be Adequately Supervised, According to FINRA

Broker-Dealer Compliance + Regulation on

Broker-dealers selling interests in IPOs need to have adequate supervisory systems to ensure that registered representatives do not make actual sales before the securities are registered, according to a settlement of a formal...more

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