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Accredited Investor Veri?cation Letter - Individual Investor

Santa Clara California Accredited Investor Veri?cation Letter - Individual Investor

Name: Santa Clara California Accredited Investor Veri?cation Letter - Individual Investor
Brand: US Legal Forms
Rating: 4.81 (211 reviews)

Category:

Corporations - Startup - Venture Financing Process

State:

Multi-State

County:

Santa Clara

Control #:

US-ENTREP-0011-9

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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How to fill out Santa Clara California Accredited Investor Veri?cation Letter - Individual Investor?

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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.

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.

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.

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.

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.

dealer registered with the Securities and Exchange Commission. An investment advisor registered with the Securities and Exchange Commission. A licensed attorney who is in good standing under the laws of the jurisdictions in which he or she is admitted to practice law.

You can use a third party letter to obtain an InvestReady certificate as long as the letter is no older than 90 days and it was written by a licensed attorney, CPA, investment advisor, or Broker Dealer.

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Santa Clara California Accredited Investor Veri?cation Letter - Individual Investor

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