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certain family offices and family clients, and.

limited liability companies with more than $5 million in assets,.

investment advisers registered with the Commission,.

The amendments created several accredited investor categories for entities: Add categories of entities eligible to qualify as accredited investors. See the discussion below of the “family office” category of accredited investor for additional information.

have her investment be directed by a person who has such knowledge and experience in financial and business matters that such family office is capable of evaluating the merits and risks of the prospective investment.

be a family client of a family office that itself qualifies as an accredited investor, and.

come within the definition of “family client” in rule 202(a)(11)(G)–1 under the Investment Advisers Act of 1940 (the “Advisers Act”),.

Family clients of family officesĪ natural person may also qualify as an accredited investor based on her status as a family client of a family office. She cannot use her status as a knowledgeable employee to qualify as an accredited investor to invest in other offerings.

This also includes employees who participate in the investment activities of the private fund or other private funds or investment companies managed by the affiliated management person.Ī private fund issuer is an issuer that would be an investment company, as defined in section 3 of such the Investment Company Act, but for the exclusion provided by either section 3(c)(1) or section 3(c)(7) of such Act.Ī natural person qualifying as an accredited investor based on her status as a knowledgeable employee is an accredited investor only for offerings by the private fund and other private funds managed by their employer. This includes directors and certain executive officers of the private fund, or of an affiliated person of the private fund that manages the investment activities of the private fund (“affiliated management person”). To qualify as an accredited investor under this category, an investor must be a “knowledgeable employee,” as defined in Rule 3c–5(a)(4) under the Investment Company Act of 1940 (the “Investment Company Act”), of the private fund issuer of the securities being offered or sold. The amendments also created an accredited investor category for individual investors who are knowledgeable employees of certain private funds.

Requests for Commission consideration, which must address how a particular certification, designation, or credential satisfies the nonexclusive list of attributes set forth in the new rule, may be submitted at Knowledgeable employees

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The Commission may designate in the future additional qualifying professional certifications, designations, and other credentials by order.

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For example, a person seeking accredited investor status by passing the Series 65 exam would also need to be licensed as an investment adviser representative in her state and would need to comply with all state-specific licensing requirements ( e.g., paying annual fees, etc.). Whether a person holds one of the designations in good standing is specific to that designation, and persons seeking accredited investor status under this category should consult FINRA rules and any state rules applicable to them. Individuals holding any of these three designations in good standing can qualify as accredited investors.

Licensed Private Securities Offerings Representative (Series 82).

Licensed Investment Adviser Representative (Series 65) and.

Licensed General Securities Representative (Series 7).

as qualifying for accredited investor status: The Commission designated three certifications and designations administered by the Financial Industry Regulatory Authority, Inc. The amendments created an accredited investor category for individual investors who hold, in good standing, certain professional certifications and designations and other credentials designated by the Commission as qualifying for accredited investor status. Professional certifications and designations and other credentials Add categories of natural persons eligible to qualify as accredited investors. What changes were made by the amendments? 1. The amendments are effective December 8, 2020.

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The amendments update and improve the definition to more effectively identify institutional and individual investors that have the knowledge and expertise to participate in private capital markets. Securities and Exchange Commission (“Commission”) adopted amendments to the definition of “accredited investor” under the Securities Act of 1933 (“Securities Act”).

Five Questions to Ask Before You Invest.