Outsourcing Your Securities Compliance to a Broker-Dealer: Navigating the Reg D Securities Offering Gauntlet
The Managing Broker-Dealer’s primary role for a Reg D offering is to ensure compliance with regulatory standards and manage the distribution and sale of securities and related money flows. The MBD’s duties span from regulatory oversight and investor suitability checks to marketing support, capital raising and exceptional record-keeping. By providing these services and safeguards, the […]