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 2-3 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.
. . . Submit an Order Ticket for Payment
Once a transaction has been finalized, complete this form to alert the operations team that a client needs an invoice. The form will require you to upload all necessary compliance documentation related to transaction before moving forward.
In order to ease the pain of the compliance documentation requirements for your investors, you may consider sending them the letter at the link below, which provides a template that explains the rationale behind the required documentation:
. . . Submit Advertising Materials for Approval to Distribute to Investors
All marketing and advertising materials must be submitted for approval prior to distribution to potential investors. 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.
. . . 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.
. . . Verify an Investor's accredited status for a 506(c) Offering
If you are conducting an offering under the 506(c) exemption from registration. Every investor in the offering that is a citizen or resident of the United States must complete this form.