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Viewing posts in the Spotlight on Designations category.


Fiduciary Links: As Reg D Advertising Begins, FINRA Cautions Investors

Posted by Bennett Aikin on September 23, 2013 in Fiduciary Links In the News Spotlight on Designations

>>>On the same week that private placement advertising restrictions were lifted and public marketing began, FINRA took the opportunity to alert investors to the risks inherent to Regulation D investments. The alert explained how the investments differ from traditional investments and warned investors that the special risks involved must be evaluated carefully before installing the investments into a portfolio. Among the regulator's recommendations for evaluating private placements are: Learn about the company's business, the ease of access to investment information, and liquidity concerns. Expect your broker to be knowledgeable about the investment. Make sure the...

Fiduciary Links: As Reg D Advertising Begins, FINRA Cautions Investors

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