Tag Archives: seattle

Individual Accredited Investor Certification, In Light of Dodd-Frank

If you are looking for a short, individual accredited investor certification that takes into account the Dodd-Frank changes and SEC guidance issued as a result of Dodd-Frank, please see my example below. The Dodd-Frank bill does not change the requirement … Continue reading

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SEC Issues Guidance On New Accredited Investor Definition

Thanks to Broc Romanek for flagging this news this morning. The SEC has issued a Compliance and Disclosure Interpretation (“CDI”) relating to the new definition of accredited investor under the Dodd-Frank Act. I have quoted it in full below. You … Continue reading

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Questions That Have Arisen With New Accredited Investor Definition

Now that the new definition of accredited investor is in effect, questions are coming up on how to implement the new definition (aside from just using the new definition going forward). Two questions that we have become aware of are … Continue reading

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New Accredited Investor Definition Now In Effect

President Obama has signed the Dodd-Frank Wall Street Reform and Consumer Protection Act. This means that the new definition of accredited investor is now in effect. The new definition applies to existing offerings. It is effective immediately. Under the new … Continue reading

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Terminating S Corporation Status In Connection With A Financing

One issue that is worth paying attention to in financing transactions in which an S corporation’s S corporation status will terminate is how losses in the year in which the investment is made will be allocated. Investors might think that … Continue reading

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