Investment Suitability Questionnaire (6 Pages)
Please Note: this form is also offered in the Private Placement Forms package which includes Private Placement Memorandum and Subscription Agreement.
This Form is an Investor Suitability Questionnaire which is part of the package of documents involved with a Private Placement Memorandum and a Subscription Agreement. In order to be comfortable that an exception from the security laws registration requirements is applicable, the persons to whom a proposed investment is disclosed must be “accredited investors”, i.e. persons of sufficient net worth and sophistication to allow an exception to the protection offered to the general public under the securities laws (provided by registration) to be available.
Please Note: this form is also offered in the Private Placement Forms package which includes Private Placement Memorandum and Subscription Agreement.
This Form is an Investor Suitability Questionnaire which is part of the package of documents involved with a Private Placement Memorandum and a Subscription Agreement. In order to be comfortable that an exception from the security laws registration requirements is applicable, the persons to whom a proposed investment is disclosed must be “accredited investors”, i.e. persons of sufficient net worth and sophistication to allow an exception to the protection offered to the general public under the securities laws (provided by registration) to be available. This Form asks the required questions to determine the suitability of an investor prior to sharing the Private Placement Memorandum with that investor. If the investor decides to proceed with an investment, then the Subscription Agreement is completed.
Author:
Steven G. Siegel is president of The Siegel Group, a Morristown, New Jersey - based national consulting firm specializing in tax consulting, estate planning and advising family business owners and entrepreneurs. Mr. Siegel holds a BS from Georgetown University, a JD from Harvard Law School and an LLM in Taxation from New York University.
He is the author of several books, including: Planning for An Aging Population; Business Entities: Start to Finish; Taxation of Divorce and Separation; Income Taxation of Estates and Trusts, Preparing the Audit-Proof Federal Estate Tax Return, Putting It Together: Planning Estates for $5 million and Less, Family Business Succession Planning, Business Acquisitions: Representing Buyers and Sellers in the Sale of a Business; Dynasty Trusts; Planning with Intentionally-Defective Grantor Trusts; The Federal Gift Tax: A Comprehensive Analysis; Charitable Remainder Trusts, Grantor Trust Planning: QPRTs, GRATs and SCINs, The Estate Planning Course, The Retirement Planning Course, Retirement Distributions: Estate and Tax Planning Strategies; The Estate Administration Course, Tax Strategies for Closely-Held Businesses, and Tort Litigation Settlements: Tax and Financial Issues.
Mr. Siegel has lectured extensively throughout the United States on tax, business and estate planning topics on behalf of numerous organizations, including National Law Foundation, AICPA, CCH, National Tax Institute, National Society of Accountants, and many others. He has served as an adjunct professor of law at Seton Hall and Rutgers University law schools.
The Siegel Group provides consulting services to accountants, attorneys, financial planners and life insurance professionals to assist them with the tax, estate and business planning and compliance issues confronting their clients. Based in Morristown, New Jersey, the Group has provided services throughout the United States. The Siegel Group does not sell any products. It is an entirely fee-based organization.
Contact the Siegel Group through its president, Steven G. Siegel, e-mail: [email protected].
