Series 82: Private Placement Liabilities

Taken from our Series 82 Top-off Online Guide

Private Placement Liabilities

The placement agent is expected to conduct reasonable due diligence on the issuer, checking for misstatements or inaccuracies in the PPM, and checking on the financial state of the company. FINRA warns its members that placement agents and selling group members need to watch for and investigate issuer “red flags.”

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I took the Series 82 just four weeks after passing the SIE. I followed the study plan, took tons of the great practice tests, got great advice from Karen, and everything worked out well. It was literally the perfect test prep experience. The materials themselves were not overly long as with other groups, it was the exactly right amount, and the Exam Simulator is just awesome, best one of its kind I've ever used. 100% rating. Thank you, Solomon!

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