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The federal securities laws define the term accredited investor in Rule 501 of Regulation D as:

  1. a bank, insurance company, registered investment company, business development company, or small business investment company; 
  2. an employee benefit plan, within the meaning of the Employee Retirement Income Security Act, if a bank, insurance company, or registered investment adviser makes the investment decisions, or if the plan has total assets in excess of $5 million; 
  3. a charitable organization, corporation, or partnership with assets exceeding $5 million; 
  4. a director, executive officer, or general partner of the company selling the securities; 
  5. a business in which all the equity owners are accredited investors; 
  6. a natural person who has individual net worth, or joint net worth with the person’s spouse, that exceeds $1 million at the time of the purchase; 
  7. a natural person with income exceeding $200,000 in each of the two most recent years or joint income with a spouse exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year; or 
  8. a trust with assets in excess of $5 million, not formed to acquire the securities offered, whose purchases a sophisticated person makes.

For more information about the SEC’s registration requirements and common exemptions, read our brochure, Q&A: Small Business & the SEC.

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National Asset Management, Inc. (“NAM”) is a registered investment advisor with the Securities and Exchange Commission. NAM provides fundamental investment management services to investors. The views expressed contain certain forward looking statements. NAM believes these forward looking statements to be reasonable, although the are forecasts and actual results may be meaningfully different. Actual events may cause adjustments in portfolio management strategies for those currently expected to be employed. This material represents an assessment of the market at a particular time and is not a guarantee of future results. This information should not be relied upon by the reader as research or investment advice regarding any security in particular. No representation is being made that any investor will or is likely to achieve profits or losses. The performance of the strategy does not reflect the effect of any annual advisory fee. More information about advisory fees is available upon request. As with any investment strategy, there is potential for profit as well as the possibility of loss. Past performance does not guarantee future results.

Jordan Kimmel holds the title of Market Strategist for National Securities Corporation. Any reference to investment strategies or recommendations of individual securities or industries is done so through his relationship with National Asset Management and not National Securities Corporation.