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Under the Securities Act of 1933, as amended (Securities Act), any offer to sell or sale of securities must be registered with the U.S.
Securities and Exchange Commission (Commission) or qualify for a registration exemption.
Ernest E. Badway, Joshua Horn and Benjamin H. McCoy authored the
LexisNexis article, "FINRA Regulation of Broker-Dealer Due
Diligence in Regulation D Offerings."
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
