transcript   Transcript

Considerations for Broker-Dealers Selling Private Placements

Recorded on: May. 24, 2017
Running Time: 00:46:39

Full Transcript:



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Taken from the Web Program Private Placement and Hybrid Securities Offerings 2017 recorded May, 2017 in New York.

Considerations for Broker-Dealers Selling Private Placements [00:46:39]
  • Due diligence obligations in a Regulation D offering
  • FINRA suitability obligations
  • FINRA regulation of offering document and sales material content 
  • FINRA Rule 5123 filing requirements and staff review procedures
  • FINRA enforcement activities involving private offerings

D. Casey Kobi, Suzanne Rothwell


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

  • FINRA Regulation of Broker/Dealer Participation in Sales of Private Placements (March 2017)
    Suzanne Rothwell

Presentation Material

  • Updated Private Placement Filer Form
    Suzanne Rothwell
(s)
D. Casey Kobi ~ Managing Director, Investment Banking Legal , Barclays
Suzanne Rothwell ~ Managing Member, Rothwell Consulting LLC
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