How Securities are Issued?

Chapter: 2 How Securities are Issued?

Section: 4 Private Placements

Private Placements are the direct sale of an issue of securities to large institutional investors and large private investors. These are not offered to the general public and it is not permitted to advertise these issues. Also, there is no registration statement, the purpose of which is to protect the general investing public. Typically, a private placement investor is either an institution such as banks, mutual funds or insurance companies, brokers/dealers purchasing for their own accounts, employee benefit plans etc. A Purchaser Representative must represent a non-sophisticated investor. This person must be an attorney, accountant, or financial planner, etc. There are also restrictions on the resale of the securities.

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