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Written Confirmation of Accredited Investor Status

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 sample form allows broker-dealers and investment advisers to provide written confirmation that they have verified the accredited investor status of a purchaser.
Type: Other Document Templates, Required Notices
PLI Item #: 132137
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; issuer; "written confirmation"

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