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
- 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
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