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: Securities Law Prof Blog

FINRA Releases Guidance on Reg D Offering Duties

By Securites Lawprof

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FINRA announced the publication of guidance for FINRA-registered firms about their obligations regarding customer suitability, disclosures and other requirements for selling private placements to customers. FINRA Regulatory Notice 10-22 reinforces and details a broker-dealer's obligation to conduct a reasonable investigation...

Full post as published by Securities Law Prof Blog on April 20, 2010 (boomark / email).

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