Oklahoma Regulation D Accredited Investor Questionnaire

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Description

The information contained in this Questionnaire is being furnished by a potential investor in order to determine whether the prospective investor qualifies as an accredited investor as defined in Regulation D of the Securities Act of 1933.



Regulation D creates an exemption that permits sales of securities without registration with the U.S. Security and Exchange Commission. However, Sellers are required to file a Form D informational statement about the sale. The definition of accredited investor is important regarding this exemption as far as a limitation on the number of shareholders allowed (i.e., 35). Accredited investors do not have to be counted as far as the 35 limitation is concerned. An accredited investor includes any investor who at the time of the sale falls into any of the following categories:
" a private business development firm;
" directors, officers, and general partners of issuer;
" banks;
" purchasers of $150,000 or more of the securities;
" natural persons with a net worth greater than $1,000,000; or
" persons with an income of greater than or equal to $200,000 per year.

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FAQ

To qualify as an accredited investor, you must meet one of three criteria. First, you should have a net worth of at least $1 million, excluding your primary residence. Second, your annual income must exceed $200,000 for the last two years, or $300,000 combined with a spouse. This information is essential when you complete the Oklahoma Regulation D Accredited Investor Questionnaire.

In a Rule 506(b) offering, investors can self-certify, so this is where the opportunity for an investor to falsify their qualifications comes in. In a Rule 506(c) offering, investors must provide reasonable assurance to the Syndicator that they are accredited, which must be dated within 90 days of the investment.

Some documents that can prove an investor's accredited status include:Tax filings or pay stubs;A letter from an accountant or employer confirming their actual and expected annual income; or.IRS Forms like W-2s, 1040s, 1099s, K-1s or other tax documentation that report income.

Syndication offering documents may require the investor to indemnify the Syndicator if they lie about their qualifications and it causes liability for the Syndicator later (ours do), so there could be repercussions against investors in those cases.

Some documents that can prove an investor's accredited status include:Tax filings or pay stubs;A letter from an accountant or employer confirming their actual and expected annual income; or.IRS Forms like W-2s, 1040s, 1099s, K-1s or other tax documentation that report income.

A private placement under Regulation D may be offered to an unlimited number of accredited investors. An accredited investor is defined as an institutional investor or a person with either a net worth of $1,000,000, or annual income of $200,000 (or $300,000 for a married couple).

Accredited Investor Definition Income: Has an annual income of at least $200,000, or $300,000 if combined with a spouse's income. This level of income should be sustained from year to year.

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.

Generally, to qualify as an accredited investor under the net worth test, you must have a net worth that exceeds $1 million, either alone or with a spouse or spousal equivalent, at the time of the sale of the securities.

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.

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Oklahoma Regulation D Accredited Investor Questionnaire