Private Placements and Bad Actors

  • April 7, 2020

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 […]

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The 10 Terms you Must know to pass the series 22 exam

  • December 30, 2019

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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