The Financial Regulatory Authority (“FINRA”) recently issued a comprehensive report on compliance issues noted in its examination program (the “Report”). The Report is intended to assist broker-dealers in identifying and addressing potential weaknesses in their compliance procedures, and discusses 19 different topics. Each section includes a summary of the relevant regulatory requirements, a series of

Morrison & Foerster partners, Ze’-ev D. Eiger and Daniel A. Nathan, presented West LegalEdCenter’s Webcast, “FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements,” on October 29, 2013 at 1:00 p.m. EST.

This one hour session focused on the due diligence obligations of broker-dealers in private placements amidst increased scrutiny from