transcript   Transcript

Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings

Recorded on: May. 23, 2018
Running Time: 00:45:58

Full Transcript:

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Taken from the Web Program Private Placement and Hybrid Securities Offerings 2018 Recorded May, 2018 in New York [00:45:58]
  • Due diligence obligations
  • FINRA suitability obligations
  • FINRA communications rule and applicability to teasers, company presentations and other offering documents 
  • FINRA Rule 5123 filing requirements and staff review procedures
  • FINRA enforcement activities involving private offerings

Minh Le, Suzanne Rothwell

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • FINRA Regulation of Broker/Dealer Participation in Sales of Private Placements (March 2018)
    Suzanne Rothwell
Minh Le ~ Director, FINRA Corporate Financing Regulation
Suzanne Rothwell ~ Managing Member, Rothwell Consulting LLC
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