FINRA Compliance Private Placement Securities - Advanced

Private Placement Securities - Advanced

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2

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The term 'private placement' as used in this material refers to the offer and sale of any security by a brokerage firm not involving a public offering. Private offerings are not the subject of a registration statement filed with the SEC under the 1933 Act. Private placements are done in reliance upon Sections 3(b) or 4(2) of the 1933 Act as construed or under Regulation D as promulgated by the SEC, or both. Regulation D, promulgated in 1982, sets forth certain guidelines for compliance with the Private Offering Exemption. Any registered representative who is involved in the private placement process is expected to have a working familiarity with Regulation D.


Course Objectives

At the conclusion of this course, you should be able to:

  • Describe the SEC's Regulation D.
  • Differentiate between Rule 502, 503, 504, 505, 506, 507, and 508.
  • Interpret the compliance considerations within Regulation D.
  • Outline non Regulation D transactions.
  • Describe Blue Sky regulations.

Topics Covered

This course covers the following topics:
Lesson 1: Insurance Principles and Legal Responsibilities
Lesson 2: Legal Responsibilities in the Agency
Lesson 3: Legal Responsibilities with the Insured
Lesson 4: Legal Responsibilities in the Insurance Contract
Lesson 5: Legal Responsibilities in Liability
Lesson 6: Legal Responsibilities in Consumer Protection
Lesson 7: Legal Responsibilities and HIPAA
Lesson 8: Legal Issues in Insurance Fraud


Subject Matter Expert

This course is created and brought to you by 360training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360training's high-quality e-learning courses assist thousands of working professionals in a wide range of disciplines, helping them to succeed in today's marketplace, to renew licenses, to acquire certification or to prepare for a new profession.


End of Course Instructions

Upon successful completion of the course, you will be able to print a certificate of completion from your training page.


Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.



You will be required to pass the final exam with a 70% in order to receive course credit.

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