FINRA Sets Regulatory Guidance for Investigating Private Placements
Date: April 29, 2010
The Financial Industry Regulatory Authority (FINRA) today 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, an area where recent examinations and enforcement actions have revealed a significant lack of regulatory compliance.
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Source: FINRA
