04-15-14

Private Placements

A Private Placement is a security or pooled investment fund that is not offered for sale to the general public.  While their issuance is governed under the Securities Act of 1933, these investments are not registered with the SEC like stocks, bonds or other publicly traded securities.  In order to comply with SEC and FINRA rules and notices, private placements impose unique obligations on issuers, sellers and purchasers.  This paper offers insight into those obligations.

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Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

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