FINRA Webcast

Private Placements

This webcast discusses private and public securities offerings that do not require registration under federal securities laws. It covers what registered representatives should know to comply with related requirements, including rules that govern the resale of these securities, and then reinforces the content with a scenario.

 

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Related Resource:

Securities Act of 1933

Securities Exchange Act of 1934

SEC Rule 144

SEC Rule 144A

SEC Rule 147

SEC Form 10-K

SEC Form 10-Q


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