... Notice 12-40 , the Form , an abbreviated version of ... guidance on the scope of a firm's respo sibilities to conduct a reasonable ... 10-22 ( April 2010 ) . 2. Statutory Basis FINRA believes that the proposed rule change Volume 106 No. 12 ...

FINRA , FINRA has developed an electronic form for the processing of ... guidance on the scope of a firm's responsibilities to conduct a reasonable investigation of private placement issuers in Regulatory Notice 10-22 ... rules must be designed ...

... 10-22 , Obligation of Broker - Dealers to Con- duct Reasonable Investigations in Regulation D Offerings , issued in April 2010 , FINRA ... rules . It also describes specific issues that pertain to a broker- dealer's ... org/web/groups/industry ...

... guidance and procedures for bank examin- ers and supervised institutions . 3 ... ( FINRA ) 1. FINRA's Official Website : This website is the best place to learn about FINRA's work , rules , and regulations . 2. FINRA Rulebook : Contains all ...

... FINRA issued Regulatory Notice 10-22 which states that broker - dealers must conduct a reasonable investigation of a private placement and the issuer's representations about the offering . The guidance also reminds broker - dealers that ...