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Reasonable Investigations in Regulation D Offerings

Book Publication Date: May 2016
Description: 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
Type: Other Document Templates, Checklists
PLI Item #: 41178
Practice Area: Banking and finance, Financial products, Securities and other financial products

Keywords: "reasonable investigations in Regulation D offerings"; broker-dealers; "due diligence"; "issuer's governing documents"; issuer's charter, bylaws, "and partnership agreement"; "authorized stock and restrictions"; perpetual existence; "historical financial statements"; independent certified public accountant; auditor letters to management; issuer's contractual arrangements; issuer's management; "management compensation"; issuer's business prospects; issuer's assets

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