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.
Arkansas Accredited Investor Suitability
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US-ENTREP-0014-1
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Word;
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FAQ
Investment advice is just what it sounds like. It means to provide recommendations or guidance that attempts to inform, guide, or educate someone about a particular investment product or series of products.
De minimis rule Investment advisers can avoid registration in a state if these two conditions are met: No place of business in the state. Maintains 5 or fewer retail clients in a 12-month period.
De Minimis. Our definition of IA excludes a person with no place of business in Arkansas that has had fewer than six (6) clients that are residents of Arkansas, other than institutional investors, during the preceding twelve-month period. VI.
An investment adviser is an individual or company who's paid for providing advice about securities to their clients.
Fiduciary duty: RIAs are required to act as fiduciaries, meaning that they must act in the best interests of clients and avoid any conflict of interest concerning products and services offered to them.
Most states require RIAs to have a net worth of at least $35,000 if they have actual custody of client funds and $10,000 if they do not; RIAs who fail to meet this requirement must post a surety bond. (The rules for this requirement, as well as several other aspects of registration, vary from state to state.)