FINRA Regulatory Notice 10-22 Compliance Due Diligence Services

INVIZEN offers FINRA Regulatory Notice 10-22 compliance due diligence services support with an exclusive suite of technologically advanced services and proprietary programs that have the potential to change the way securities are sourced, marketed and sold for commercial real estate property businesses – principally in Direct Participation Program private placement offerings.  FINRA Regulatory Notice 10-22 (and FINRA Rule 2310) make it very clear as to the duty of the broker-dealer and investment advisor regarding the conduct of due diligence BEFORE the securities are put out to market.  Every soliciting dealer agreement and advisor agreement contains the due diligence review and reporting section and that one section is the source of more problems than RTU Technical Report Screen Shotalmost anything else in the securities sales industry today.FINRA Regulatory Notice 10-22 Due Diligence Compliance

INVIZEN offers the securities broker-dealer industry the opportunity to take this potential liability and turn it into a profit-taking opportunity that helps create long-term sources of future capital finance transaction business (buy-side placement agent agreements), as well as help insulate the investing-public from loss severity risk in a way that may attract even more prospective investors to the sell-side of the securities sales industry.

INVIZEN accomplishes this feat by virtue of its design to provide an end-to-end solution that addresses the CRE property operating business at whatever stage in its life cycle that it is in and helping eliminate the prospect of a bankruptcy petition resulting from an unforeseen liquidity crisis over the entire term of the investment holding period of the security.  INVIZEN accomplishes this feat using a real-time, proactive solution based upon proprietary software, real-time data, and analytics that is truly affordable.

FINRA 10-22 makes the duty plain and you now have a choice – you can talk to us once the allegations of investment fraud are made (and you need a defense strategy that will help get everyone where they want to be) or you can take advantage of our special program offer now and have the opportunity to increase sales, decrease your investment fraud loss severity risk exposure and increase profits now.

Which scenario makes more sense to you?

INVIZEN offers the broker-dealer the opportunity to take FINRA 10-22 and 2310 head-on in a way that is designed to not only satisfy the broker-dealer’s due diligence investigation obligations in the most expeditious and cost-efficient manner possible, but also profit from doing it in a way that supports integrity and increased profits at the same time.

RTAF Summary Report Screen ShotThere is so much more to the INVIZEN Real-Time Status Asset Care Protection Program that INVIZEN was intentionally designed to support:

  • CRE Developers & Sponsors.  Developers and sponsors seeking capital financing have the advantage of a systemic solution that provides the support needed to increase the odds of a successful capital financing outcome that saves time, money and reduces their capital investment risk.
  • Investors & Lenders.  Investors and lenders seeking to participate in commercial real estate securities private placement offerings and other credit instruments have the advantage of a systemic solution that provides the highest practical investment performance assurance we can contrive.  INVIZEN gives investors and lenders the proactive investment loss severity risk prevention and monitoring they really need, but have never been able to obtain in the past.
  • Broker-Dealers & Registered Investment Advisors.  Securities broker-dealers and registered investment advisors on both the buy-side and sell-side of the transaction have the advantage of a reporting system that provides FINRA compliance support, protection from future investment fraud claims, increased transaction velocity and the opportunity to increase their operating margins – all in one package.  If your INVIZEN RTA Valuation Reportfirm doesn’t have this approach, then you are still operating in an environment that will penalize your opportunity to profit and control costs.

Talk to an INVIZEN representative today for more info

It all starts with the phone call.  Contact INVIZEN today at 832.663.9634 to learn how our broker-dealer due diligence services program can help you realize your goals and help protect the interests of your shareholders.