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Reasonable Investigations in Regulation D Offerings
Exempt and Hybrid Securities Offerings
Book Publication Date:
Excerpt from FINRA Regulatory Notice 10-22 (April 2010) that should serve as a basis for a broker-dealer's diligence inquiries in connection with Regulation D offerings
Other Document Templates, Checklists
PLI Item #:
Corporate & Securities
"reasonable investigations in Regulation D offerings"
"issuer's governing documents"
issuer's charter, bylaws, "and partnership agreement"
"authorized stock and restrictions"
"historical financial statements"
independent certified public accountant
auditor letters to management
issuer's contractual arrangements
issuer's business prospects
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