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Accredited Investor Questionnaire Form

Book Publication Date: Sep 2014
Description: Under the Securities Act of 1933 only persons who satisfy the definition of "accredited investor" in Rule 501(a) of Regulation D may purchase securities in a Rule 501(c) securities offering. This questionnaire allows broker-dealers and investment advisers to determine if an individual qualifies as an accredited investor.
Type: Questionnaires
PLI Item #: 132136
Practice Area: Banking and finance, Corporate law, Financial products, Financial services, Hedge funds, Investment advisers, Investment fund management, Regulation and compliance (Corporate law), Securities and other financial products

Keywords: "accredited investor"; "SIFMA"; "broker-dealer"; "investment adviser"; "regulation D"; "Rule 506(c)"; "Rule 501(a)"; "securities act"; "securities offering"; "net worth"; purchaser

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