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.
North Dakota Investor Suitability Questionnaire
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Multi-State
Control #:
US-DD060210
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Word;
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FAQ
The suitability rule generally requires broker-dealers to use reasonable diligence to seek to obtain and analyze the customer-specific factors listed in the rule. A broker-dealer cannot make assumptions about customer-specific factors for which the customer declines to provide information.
What Is a Suitable Investment? A suitable investment is defined as one that is appropriate in terms of an investor's willingness and ability (personal circumstances) to take on a certain level of risk. Both of these criteria must be met.
The Investor Questionnaire is designed to help you decide how to allocate your assets among different asset classes (stocks, bonds, and short-term reserves). You are under no obligation to accept the suggested allocations provided by this questionnaire.
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.
To determine that, the broker needs to consider certain things about the investor, including the following: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...
The suitability standard requires only that investments be suitable to the investor's circumstances, and may allow a broker to recommend an investment that is more costly and generates a higher commission than a similar low-priced option.
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.
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...
