SEC rules surrounding investor accreditation are intended to help protect investors by verifying an investor’s baseline qualifications for surrounding investments and risks associated with investing.
Federal regulations require registration with the SEC prior to the sale of securities to investors, which include filing substantial documentation for review by the SEC and state securities agencies. However, there are certain exemptions to these regulations.
One exemption is provided by Regulation D, which allows securities to be offered to “accredited investors” in private offerings.
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