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.
Pennsylvania Accredited Investor Certification
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FAQ
This self-executing exemption is available for most private sales that do not involve any advertising or use of a broker ? dealer as part of a public offering. Since the exemption is self-executing, you do not have to file anything with DFPI to rely on this exemption.
Isolated transaction exemption (203.189): Pennsylvania companies may sell securities to no more than two Pennsylvania investors in a 12-month period without registration or filing with the department.
SEC filings are important regulatory documents required of all public companies to provide key information to investors or potential investors.
The most common exemptions from the registration requirements include: Private offerings to a limited number of persons or institutions; Offerings of limited size; Intrastate offerings; and.
Brokers and Dealers Generally Must Register with the SEC.
Rule 147 (intrastate offerings) permits a company to avoid registration of securities if it has a ?reasonable basis? for believing potential investors are all within a single state. Also, the issuing company need only be mostly?80 percent?within the same state.
Securities that are exempt from the registration provisions of the Securities Act of 1933 are principally governmental issues, including U.S. Government debt, U.S. Government agency debt and municipal debt.
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.