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Documentation Required to Confirm Accredited Investor Status

Orange California Documentation Required to Confirm Accredited Investor Status

Name: Orange California Documentation Required to Confirm Accredited Investor Status
Brand: US Legal Forms
Rating: 4.61 (500 reviews)

Category:

Corporations - Startup - Venture Financing Process

State:

Multi-State

County:

Orange

Control #:

US-ENTREP-0011-7

Format:

Instant download

Description

Under SEC law, a company that offers its own securities must register these investments with the SEC before it can sell them unless it meets an exception. One of those exceptions is selling unregistered investments to accredited investors. To become an accredited investor the (SEC) requires certain wealth, income or knowledge requirements. The investor must fall into one of three categories. Firms selling unregistered securities must put investors through their own screening process to determine if investors can be considered an accredited investor. The Verifying Individual or Entity should take reasonable steps to verify and determined that an Investor is an "accredited investor" as such term is defined in Rule 501 of the Securities Act, and hereby provides written confirmation. This letter serves to help the Entity determine status.

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Accredited Investor Financial Criteria. Net worth over $1 million, excluding primary residence (individually or with spouse or partner)Professional Criteria.Investments.Assets.Owners as Accredited.Investment Advisers.Financial Entities.

To evidence your assets, you would upload bank statements, brokerage statements and other statements of securities holdings, certificates of deposit, tax assessments and appraisal reports. All documentation must be no more than 90 days old.

Note the SEC requires that no evidence used for verification purposes be any older than 90-days, except for income evidence, these accreditation letters generally expire after 90-days.

An Accreditation Investor Verification Letter is an official document provided by North Capital Private Securities Corporation, through the Accredited.AM website, that you can provide to third parties to satisfy the Accredited Investor verification requirement under Section 506(c) of Regulation D of the Securities Act

An accredited investor is a person or entity that is allowed to invest in securities that are not registered with the Securities and Exchange Commission (SEC). To be an accredited investor, an individual or entity must meet certain income and net worth guidelines.

There are essentially three approaches: (1) the issuer itself can verify each investor's status, (2) the investor's accountant, lawyer, or another professional can verify the investor's status, or (3) the issuer can hire a third-party verification service to verify each investor's status.

Note that individuals or couples meeting any one of these criteria are considered accredited investors: Income: Individuals with annual income of $200,000 or more (and couples making $300,000 or more) for at least two years in a row can be accredited investors.

In lieu of providing income or net assets information, you may provide a professional letter from a licensed CPA, attorney, investment advisor or registered broker-dealer. The letter should state that the professional service provider has a reasonable belief that you are an Accredited Investor.

Some documents that can prove an investor's accredited status include: Tax filings or pay stubs; A letter from an accountant or employer confirming their actual and expected annual income; or. IRS Forms like W-2s, 1040s, 1099s, K-1s or other tax documentation that report income.

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Third Party Verification: Upload a letter from your accountant, lawyer, or registered investment advisor verifying you are accredited under Reg D Rule 501. After you find the category that applies to you, submit the documents listed for that category.Cigna, a global health service company, offers health, pharmacy, dental, supplemental insurance and Medicare plans to individuals, families, and businesses.

Orange California Documentation Required to Confirm Accredited Investor Status

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