"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, take Investor statements regarding information, and waiver of claims."
New Mexico Accredited Investor Qualification and Verification Requirements for Reg D, Rule 506(c) Offerings
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The company cannot use general solicitation or advertising to market the securities. The company may sell its securities to an unlimited number of "accredited investors" and up to 35 other purchasers.
To confirm their status as an accredited investor, an investor can submit official documents for net worth and income verification, including: Tax returns. Pay stubs. Financial statements. IRS forms. Credit report. Brokerage statements. Tax assessments.
If you are accredited based on income, you will need to provide documentation in the form of tax returns, W-2s, or other official documents that show you meet the required income threshold for the prior two years.
Hear this out loud PauseForm D is important because it keeps you within legal boundaries. You can't simply begin selling securities to fund your business without filing the appropriate paperwork. If your offerings aren't public, you can avoid the typical registration process.
Hear this out loud PauseCompanies may use an exemption under Regulation D to offer and sell securities without having to register the offering with the SEC. When relying on such an exemption, companies must file what's known as a "Form D" after they first sell their securities.
Hear this out loud PausePrivately held companies that raise capital are required to file a Form D with the SEC to declare exempt offering of securities. Many of these filings show investments in small, growing companies through venture capital and angel investors, as well as certain pooled investment funds.
The Form D asks you to list specifics about your fundraising. This includes listing (a) ?The Total Offering Amount? (the amount you want raise), (b) ?The Amount Sold? (the amount you actually raised), and (c) ?The Total Remaining to be Sold? (the amount you failed to raise, but are still trying to raise).
Hear this out loud PauseSEC Form D is a filing with the Securities and Exchange Commission (SEC). It is required for some companies selling securities in a Regulation (Reg) D exemption or with Section 4(a)(5) exemption provisions.