Kim Lisa TaylorSecurities Attorney, Founder, Syndication Attorneys, PLLC · Corporate Securities Attorney, 2x Best-Selling Author, Nationwide Speaker | Private Placement

Is Your Investor Relationship SEC Compliant? Avoid Costly Mistakes!

16 Nov 2024 · 1 min

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In this segment, the speaker clarifies that conversations about a personal partnership differ fundamentally from those needed to establish an investor relationship under SEC regulations. To ensure compliance, the speaker outlines the essential information you must gather from a prospective investor: whether they are accredited, their prior investment experience, the types of returns they seek, and their overall investment goals. Understanding these factors allows you to determine if the investor’s objectives align with your own investment strategy, thereby avoiding regulatory pitfalls and costly mistakes.

Chapters

Because talking to someone about being your partner is a lot different than building the relationship for them to be an investor. So when you are having these conversations with him, right, if he was just going to be an investor, you really need to start having those conversations because a substantive relationship under the SEC has to do with financials. You need to know if he's accredited or not accredited. Has he ever invested in anything before? What types of returns is he looking for? You need to know what are his overall investment goals because you need to know how they line up with your investing.