More and more questions are popping up on FINRA Exams concerning disqualifying events which prohibit certain bad actors from participating in private placement offerings. With the implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act, certain “bad actors” are precluded from participating in offerings under Regulation 506. If any covered person has been […]
Here are 10 terms you must know in order to successfully complete the series 22 exam: 1031 exchange Internal Revenue Code 1031 allows investors to exchange certain types of properties without recognizing a capital gain or Capital loss on the exchange. The property exchange must include properties of like-kind and must be held for investment […]
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