2 July Rules of SEC and FINRA Welcome to your Rules of SEC and FINRA Private placements are regulated under: Securities Exchange Act of 1934 Securities Exchange Commission (SEC) Regulation D FinCEN None Acting as a dealer refers to: Providing investment advice Executing securities transactions on behalf of others Engaging in securities trading for one's own account Assisting clients with asset allocation None The required customer information under the Customer Identification Program (CIP) includes: Social Security Number Occupation and employment information Residential address All of the above None Money laundering is addressed under the: Bank Secrecy Act (BSA) Form 8300 U.S.A. Patriot Act Suspicious Activities Report (SAR) None Time's up