Series 22: Private Placement Due Diligence

Taken from our Series 22 Top-off Online Guide

Private Placement Due Diligence

For a private placement, the placement agent is expected to conduct reasonable due diligence on the issuer and its management, checking for misstatements or inaccuracies in the private placement memorandum and the financial state of the company. FINRA warns its members that placement agents and selling group members n

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