Tennessee Form IN-1460 (Accredited Investor Notice Form)[PDF] is a document utilized by accredited investors in Tennessee to declare their status as an accredited investor. This form is required by the Tennessee Department of Financial Institutions and must be submitted to the Tennessee Securities Division in order to be considered an accredited investor. This form is used to provide the Tennessee Department of Financial Institutions with a written statement of the investor’s qualifications to be an accredited investor. The form includes the following information: name, address, type of accredited investor, list of investments, date of submission, and a signature. It also includes an attestation that the investor has read and understands the requirements and instructions for the form. There are two types of Tennessee Form IN-1460 (Accredited Investor Notice Form)[PDF]: one for individuals and one for entities.
Tennessee Form IN-1460 (Accredited Investor Notice Form)[pdf]
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How to fill out Tennessee Form IN-1460 (Accredited Investor Notice Form)[pdf]?
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FAQ
The SEC defines an accredited investor as either: an individual with gross income exceeding $200,000 in each of the two most recent years or joint income with a spouse or partner exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year.
Exempt Security - Common types of exempt securities are government securities, bank securities, high-quality debt instruments, non-profit securities, and insurance contracts.
Accredited investors are individuals or entities who are qualified by the SEC to invest in unregulated or sophisticated securities, while a qualified purchaser is an individual or entity with an investment portfolio worth over $5 million.
Summary. Exempt transactions are securities transactions that are exempt from the registration requirements of the 1933 Securities Act. Four typical examples of transaction exemptions in the United States include 1) Regulation A Offerings, 2) Regulation D Offerings, 3) Intrastate Offerings, and 4) Rule 144 Offerings.
To qualify as an accredited investor, you must have over $1 million in net worth, or more than $200,000 in earned income in the past two calendar years, with the expectation of the same earnings.
Instruments exempt from the registration requirements of the Securities Act of 1933 or the margin requirements of the SEC Act of 1934. Such securities include government bonds, agencies, munis, commercial paper, and private placements.
The Tennessee Securities Division is responsible for enforcing the Tennessee Securities Act of 1980 and protecting the investors of Tennessee by maintaining the integrity of the securities market. We accomplish this function through the regulation of the securities industry and capital markets of Tennessee.
§48-2-103(b)(6) Another Tennessee exemption applies if the aggregate amount of securities sold in Tennessee in the offering by a Tennessee issuer does not exceed $250,000 during any 12-month period, and no commission or other remuneration is paid or given directly or indirectly for soliciting any purchaser in Tennessee