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.
West Virginia Accredited Investor Self-Certification Attachment D
State:
Multi-State
Control #:
US-ENTREP-0015-1
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Word;
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How to fill out Accredited Investor Self-Certification Attachment D?
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FAQ
In the case of a successful verification, you'll get an attorney's letter certifying that you have been verified as an accredited investor pursuant to standards required by federal laws.
Individuals who want to become accredited investors must fall into one of three categories: have a net worth exceeding $1 million on your own or with a spouse or its equivalent; have earned an income surpassing $200,000 ($300,000 if combined with a spouse or its equivalent) during the last two years and prove an ...
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.
It is usually used by smaller companies. The regulation allows capital to be raised through the sale of equity or debt securities without the need to register those securities with the SEC. However, many other state and federal regulatory requirements still apply.
In the U.S., the term accredited investor is used by the Securities and Exchange Commission (SEC) under Regulation D to refer to investors who are financially sophisticated and have a reduced need for the protection provided by regulatory disclosure filings.
Examples of supporting documents Latest statement from brokerage houses showing net personal assets For net equity of property: Title deeds free of encumbrances. Latest housing loan statement For income: Salary Slip.
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.
dealer registered with the Securities and Exchange Commission. An investment advisor registered with the Securities and Exchange Commission. A licensed attorney who is in good standing under the laws of the jurisdictions in which he or she is admitted to practice law.
