Due Diligence Blog

Jan 12
Jan 11

Are Private Placements a Continuing FINRA Priority?

One area that continues to be of concern for the Financial Industry Regulatory Authority (FINRA) is private placement securities. In 2014, FINRA released a Regulatory and Examination Priorities Letter that details these concerns. In essence, it is a continuing priority for FINRA to supervise the activities of private placement offerings... read more →
Jan 10
Jan 09

What are the Policies and Practices for Compliance with FINRA’s Due Diligence Obligation?

Broker dealers must follow certain policies and procedures in examining securities. This obligation is a requirement of the Financial Industry Regulatory Authority (FINRA) Notice 10-22 for all Regulation D offerings. Supervision Broker dealers must provide adequate supervision of all activities that are related to Regulation D offerings. To ensure supervision... read more →
Jan 08
Jan 01