Advertising Materials Submission

Advertising Materials Submission
Instructions

In general, this form should be used to submit the following communications for principal approval prior to distributions:
- emails to over 25 persons
- investor presentations
- executive summaries
- research reports
- investment fund profiles.
Offering documents (e.g. PPM, CIM, or Subscription Package) created by an issuer are not required to be approved prior to distribution.

If possible, it is strongly advised to allow the client to distribute marketing communications, as such communications are not subject to FINRA restrictions on public communications.

Please review the notification for any changes to the document made by the principal and/or any limitations imposed upon distribution.
Acknowledgement *

I have read and understand the instructions

Plan of Distribution
Registered Representative *

First Name Last Name
Representative E-mail *
Issuer of the Securities *
Upload Advertising Materials *

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How many potential clients will you distribute this communication to within a 30 day period? *
Out of the number of clients indicated above, how many have assets over $50M? *
Please describe in detail how the document will be distributed . . . *
Content Standards
I have verified that the document does NOT violate the following FINRA content standards *

based upon principles of fair dealing and good faith fair and balanced provides a sound basis for evaluating the facts does not make false, unwarranted, exaggerated or misleading statements of material fact does not omit information that, in context, would cause a statement to be misleading does not make promises of future performance does not predict or project performance of an investment does not imply that past performance of an investment will recur does not make use of back-tested data does not characterize any investment as tax-free does not include investor testimonials for the securities
I have scrubbed the document of any pro forma financials, projected IRR, target returns, etc. *

Yes No (please erase from the document prior to submission)
Check the document for the presence of material misrepresentations of fact: *

I have verified that the document contains no material misrepresentations I have removed the material misrepresentations and I will alert the CCO The document contains material misrepresentations and I will alert the CCO
Standard Disclosure
Standard RMS Disclosure

DISCLOSURE: Rainmaker Securities, LLC (“RMS”) is a FINRA registered broker-dealer and SIPC member. RMS representatives are supervised from the RMS registered branch office located at 4643 Lindell Blvd. Suite 908, St. Louis, MO 63108. RMS is engaged by its clients to make referrals to buyers or sellers of securities. If such client closes a securities transaction with a buyer or seller so referred, RMS is entitled to a success fee from the client. Such success fee may be in the form of cash or in warrants to purchase securities of the client or client’s affiliate. It is not uncommon for RMS or RMS representatives to hold equity in its issuer clients or in the issuers of securities purchased or sold by the parties to a transaction.

This communication does not represent an offer or solicitation to buy or sell securities. Such an offer must be made via definitive legal documentation by the buyer or seller of securities. RMS deals only in securities offered in private placements (“Securities”). The Securities are not approved or disapproved by the SEC or any other federal or state agency. No regulatory agency has endorsed the accuracy or adequacy of this communication or any offer or solicitation to buy or sell the Securities.

Only investors that qualify as “accredited investors” - as defined Rule 501(d) of the Securities Act of 1933 - may invest in the securities. Investments in the Securities are speculative and involve a high degree of risk. An investor in the Securities should have little to no need for liquidity in the foreseeable future and should be able to withstand the loss of the entire investment. Potential buyers or sellers of the Securities should seek professional counsel prior to entering into any transaction.
Have you added the Standard RMS Disclosure to the document? *

Yes No (copy and paste the Standard Disclosure into the document)
Conflict of Interest Disclosures
WARRANT DISCLOSURE: For this offering of Securities, RMS and its registered representatives are entitled to receive warrants to purchase Securities from the seller/issuer as compensation for the close of a transaction with a referred client.
Does the RMS engagement for the offering include warrant compensation? *

Yes (copy and paste the Warrant Disclosure into the document) No
EQUITY DISCLOSURE: RMS and/or its registered representatives hold an equity interest in the seller/issuer of the Securities.
To your knowledge, do you or any RMS registered representative hold equity in the issuer or seller of the Securities? *

Yes (copy and paste the Equity Disclosure into the document) No
Please describe any other potential conflict of interest here.
I attest that the foregoing is true and accurate to the best of my knowledge.
Date *

Month Day Year
Date Date Picker Icon
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Advertising Materials Submission

Plan of Distribution

Content Standards

Standard Disclosure

Conflict of Interest Disclosures