Private Placement Due Diligence Review Checklist

The Broker-Dealer Private Placement Due Diligence Review Checklist is a useful tool for assisting firms with their due diligence obligations in accordance with Regulatory Notice 10-22 (Obligations of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA Rule 2111 (Suitability), and FINRA Rule 3110 (Supervision), by evaluating “the issuer and its management; the business prospects of the issuer; the assets held by or to be acquired by the issuer; the claims being made; and the intended use of proceeds of the offering.”

Version/Update: V.2/May 20, 2024

Total Page Count/Format 9/.docx

Source/Author(s): Connexien