WHAT DOES RAINMAKER SECURITIES, LLC DO WITH YOUR PERSONAL INFORMATION?
Notification of Privacy Statement Changes
Collection and Use of Personal Information
RMS collects and stores the following personal information from you about yourself and your company in order to comply with applicable governmental and self-regulatory organization rules and regulations:
- Contact Information such as name, email address, and zip code
- Information such as your income, investment objectives, age, investment history, liquid assets, etc. in order to determine investment suitability pursuant to FINRA Rule 2111
- Information about legal and financial status to verify that an investor is an “accredited investor” as required by Rule 501 of Regulation D promulgated under the Securities Act of 1933
- Thomson Reuters WorldCheck data for the purpose of know your customer and anti-money laundering regulations
- Due diligence data provided by an entity seeking investment
- Professional biography
- Social media links
- Background information to help determine whether a company or person is disqualified for a transaction via the “Bad Actor” requirements of 506(d) of Regulation D promulgated under the Securities Act of 1933
- Transaction history and documentation
- If RMS deems a customer to carry a heightened risk of a potential violation of rules or regulations, RMS may use additional methods of data-collection as deemed appropriate
As is true of most websites, the RMS website may automatically gather information about your computer such as your IP address, browser type, referring/exit pages, and operating system. Other pieces of visitor information may be collected on an aggregated or individual basis through the use of third-party website analytics services such as those provided by Google. The privacy and other terms of those third-parties will apply.
RMS will deploy the same efforts to protect customer information as it does to protect its own confidential information. RMS does not sell information about customers or their accounts to third parties. RMS does not share information about investors except as needed to complete securities transactions and comply with governmental and self-regulatory organization rules and regulations.
Absent consent, RMS may also disclose your personal information in the following manner:
- As required by law such as to comply with a subpoena, administrative order or similar legal process
- When we believe in good faith that disclosure is necessary to protect our rights, protect your safety or the safety of others, investigate fraud, respond to a government request or pursuant to a demand under the Digital Millennium Copyright Act and other intellectual property laws
- Related to due diligence for a fundraising event
- If RMS is involved in an merger, acquisition, or sale of all or a portion of its assets, the information may be transfered to the new ownership group, which shall be held to the same privacy standards as RMS.
Cookies and Other Tracking Technologies
The website may use third-parties to place cookies on your computer to collect non-personally identifiable information to compile aggregated statistics for us about visitors to the Portal, including without limitation Google web services.
Links to Other Web Sites
RMS follow generally accepted industry standards to protect the personal information submitted to us, both during transmission and once we receive it. No method of transmission over the Internet, or method of electronic storage, is 100% secure, therefore, we cannot guarantee its absolute security.
RMS and its partners will retain your information for as long as your account is active, as needed to provide you services and longer as required by applicable law. If you wish to cancel your account or request that we no longer use your information to provide you services contact us. We will retain and use your information as necessary to comply with our legal and regulatory obligations.