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FINRA Issues New Investor Alert: Private Placements

September 17, 2013

FINRA Issues New Investor Alert: Private Placements—Evaluate the Risks Before Placing Them in Your Portfolio

WASHINGTON—The Financial Industry Regulatory Authority (FINRA) issued a new investor alert to caution investors that investing in private placements is risky and can tie up their money for a long time. A private placement is an offering of a company’s securities that is not registered with the Securities and Exchange Commission (SEC) and is not offered to the public at large. Many private placements are offered pursuant to Regulation D of the Securities Act of 1933. In general, you must be an “accredited investor” to invest in a private placement.

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September 17, 2013
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