Series 24: 4.2.9.1.1. Member Firm Private Placements

Taken from our Series 24 Online Guide

4.2.9.1.1. Member Firm Private Placements

When a member firm issues private placement securities, it must provide a private placement memorandum (PPM) to all interested investors if it has a PPM. The PPM must contain disclosures addressing the intended use of the offering proceeds, offering expenses, and the amount of selling compensation that will be paid to the f

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