FINRA Regulation of Broker-Dealer Due Diligence In Regulation D Offerings
Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S.
Securities and Exchange Commission (Commission) or qualify for a registration exemption.
United States
Corporate/Commercial Law
Originally published by LexisNexis
Ernest E. Badway, Joshua Horn and Benjamin H. McCoy authored the
LexisNexis article, "FINRA Regulation of Broker-Dealer Due
Diligence in Regulation D Offerings."
View the article here.
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