Series 82 podcast · Episode 09
Filing Obligations and Prohibited Compensation
53 min of listening
Seeking Business and Private Offerings. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- The Private Placement Notice Filing Requirement
- Exemptions From the Private Placement Filing Requirement
- Prohibited Compensation for Unregistered Introducers and Finders
- How This Filing Requirement Differs From Related Rules
Put this episode into practice with adaptive questions and flashcards in the full Series 82 course.