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 a Customer Account
At or before a transaction with any customer of the broker-dealer, we are required to obtain certain information about the customer. For primary market sales directly from an issuer, only the buyer must complete the customer account form. For secondary market sales, both the buyer and seller must complete the customer account form.
Feel free to send the above link to the customer for completion. Alternatively, the registered agent may complete the customer account 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:
Investment Fund profile sheets
Outreach emails going to 25 or more external recipients 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.