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What is a Private Placement?

Investing in a private placement opportunity is done off-exchange, and usually involves a small number of investors who are either institutions or accredited private investors. There are many possibilities when it comes to the types of private placement investments that can be made, but the nature of the offering is that it is not public, it is made to a small number of institutional level or individual accredited investors (see Regulation D, Rule 505 and 506), and the offering is not registered with the SEC. Continue reading...

Where can I get information about private placements?

The short answer is, you can’t. Private placements have no reporting or registration requirements with the SEC or other entities. Sometimes this can be good for investors who enjoy the discretion. But it can also be a shield for unethical business people who prefer to avoid regulatory oversight. There is no source for detailed information about private placements unless you personally know a general partner who can describe to you his project, or who comes highly recommended with a lot of references. If an offering seeks to raise over $2 million in the capital in a year’s time, they are obligated under Regulation D to provide audited financial statements to the investors. Continue reading...

What Is Insider Trading, and Is It Always Illegal?

When it comes to financial markets, few phrases carry as much intrigue and controversy as "insider trading." The term itself conjures images of Wall Street power players engaging in illicit activities behind closed doors. But what exactly is insider trading, and is it always illegal? Let's delve into this topic and debunk some common misconceptions. Continue reading...

What Is Bats Global Markets?

In the realm of financial markets, the Better Alternative Trading System (BATS) stands as a noteworthy name that, over the years, transformed into Bats Global Markets. This article delves into the intriguing journey of Bats Global Markets, its evolution from an innovative trading platform to a prominent exchange, and its ultimate acquisition by the Cboe Options Exchange. Continue reading...