I need to . . .
. . . Submit Due Diligence Files
Once a seller of securities has signed the engagement agreement, either the representative or seller must upload the due diligence documentation using this form. Submitting the form will alert the operations team to begin the review. We endeavor to complete our due diligence review within 3 business days of submission. An offering must be approved prior to commencement of any solicitation of the securities.
Use the following links to obtain the due diligence checklist for the appropriate offering type. The checklist may be sent to the issuer/seller for guidance regarding our due diligence requirements.
. . . Establish Investor Suitability
FINRA Rule 2111 requires that a firm or associated person have a reasonable basis to believe a recommended transaction or investment strategy involving a security or securities is suitable for the customer. Use this form to document and establish an investor's suitability. This form is required for every investor that completes a transaction.
Feel free to send the above link to the investor for completion. Alternatively, the registered agent may complete the suitability form on behalf of a customer, but only to the extent that the registered agent has actual knowledge of the information.
. . . Request to Invoice a Client for Payment
These forms will initiate the process for sending an invoice to obtain payment from client. For securities transactions, please ensure that you have on hand all documentation pertaining to the transaction, customer suitability, and anti-money laundering. For consulting, expense, and retainer invoicing, we only need the the applicable client contract.
. . . Submit Advertising Materials for Approval
All marketing and advertising materials must be submitted for approval prior to distribution to potential investors. Marketing and advertising materials include:
- Executive Summaries
- Pitch decks
- Tombstone Publishing
- Panel Participation
- Outreach emails going to 25 or more potential investors in a 30-day period
This form will allow you to upload the proposed materials and initiate a review of the materials by a principal of Rainmaker Securities for ultimate approval.