This due diligence questionnaire is to enable a company to discharge its responsibilities under the private placement and limited offering exemptions and that, as issuer and/or any of its sales personnel, a company will rely upon the information and representations and warranties contained in this questionnaire.
Arkansas Investor Suitability Questionnaire
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Multi-State
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US-DD060210
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FAQ
The Purpose of this Questionnaire is to solicit certain information regarding your financial status to determine whether you are an Accredited Investor, as defined under applicable federal and state securities laws, and otherwise meet the suitability criteria established by the Company for purchasing Shares.
What Should a Suitability Assessment Consider?Age.Investment goals.Investment timeframe.Risk tolerance.Financial situation and obligations.Liquidity needs.Current investment portfolio and assets.Investment knowledge, sophistication, and experience.More items...
Suitability refers to an ethical, enforceable standard regarding investments that financial professionals are held to when dealing with clients. An investment must meet the suitability requirements outlined in FINRA Rule 2111 prior to being recommended by a firm to an investor.
The Investor Questionnaire suggests an asset allocation based on information you enter about your investment objectives and experience, time horizon, risk tolerance, and financial situation. Your asset allocation is how your portfolio is divided among stocks, bonds, and short-term reserves.
Reasonable-basis suitability has two main components: a broker must (1) perform reasonable diligence to understand the potential risks and rewards associated with a recommended security or strategy and (2) determine whether the recommendation is suitable for at least some investors based on that understanding.
Accredited investor questionnaires are used to determine whether potential investors meet the suitability requirements of Regulation D of the Securities Act of 1933, which may eliminate the need for the offering or issuance of such securities to be registered with the Securities and Exchange Commission.
A test that is done by the investment firm where it asks the client some questions to reach an understanding of the types of investments that will be suitable for the client. Typically questions would revolve around the client`s investment objectives, financial situation, knowledge and experience.
Suitability refers to an ethical, enforceable standard regarding investments that financial professionals are held to when dealing with clients. An investment must meet the suitability requirements outlined in FINRA Rule 2111 prior to being recommended by a firm to an investor.
FINRA Rule 2111 requires that a firm or associated person have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer.