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: FinancialCounselPrivate Placement Investment Deals Top the List of Investor Protection Priorities
By James Eccleston
FINRA (the Financial Industry Regulatory Authority) recently discussed its investor protection priorities at a conference held for independent financial services firms. Unfortunately for that audience, FINRA stated that it has targeted the two products that they sell to customers a great deal: private placements (otherwise known as "Reg D" offerings) and non-traded real estate investments trusts (REITs). Indeed, speaking for FINRA, James Shorris, executive vice president and executive director of enforcement, commented that Reg D deals are a "major, major initiative at FINRA."
Full post as published by FinancialCounsel on February 10, 2011 (boomark / email).
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