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.
Nebraska Accredited Investor Suitability
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? Understanding accredited investors For example, an individual or married couple is eligible with a net worth of over $1M, not including a primary residence. An entity can qualify if it is a bank or insurance company or holds more than $5M in assets, among other things.
The SEC defines an accredited investor as someone who meets one of following three requirements: Income. Has an annual income of at least $200,000, or $300,000 if combined with a spouse's income.
To qualify as an accredited investor, you must have over $1 million in net worth, or more than $200,000 in earned income in the past two calendar years, with the expectation of the same earnings. Financial professionals with Series 7, 65 or 82 licenses also qualify.
Spouses or spousal equivalents can also qualify if their joint net worth exceeds $1M at the time they are making an investment. As with becoming an accredited investor individually, this net worth must exclude the value of your primary residence.
Requirements to Be an Accredited Investor A natural person with income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year.
A spousal equivalent means a cohabitant occupying a relationship generally equivalent to that of a spouse. The value of your primary residence is not included in your net worth calculation.
Individuals who have an individual net worth, or joint net worth with the person's spouse, that exceeds $1 million at the time of the investment (The net worth amount cannot include the value of the person's primary residence.)
Net worth over $1 million, excluding primary residence (individually or with spouse or partner) Income over $200,000 (individually) or $300,000 (with spouse or partner) in each of the prior two years, and reasonably expects the same for the current year.