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Memo to Clients 2023 - Annual Reminders | Seward & Kissel LLP

This Memorandum is intended to remind you of certain U.S. annual requirements that may be applicable to your business and is divided into five sections. All investment advisers (whether. ....

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Investment Management, Trading & Markets Updates – August 2021 | Alston & Bird

SEC Increases Threshold for “Qualified Clients” Exemption Under Section 205-3 of the Investment Advisers Act of 1940 - On June 17, 2021, the Securities and Exchange Commission (SEC). ....

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The Devil is in the Details Part 9: Blue Sky Filings – New York State Rule Changes | Hardin Compliance Consulting LLC

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On December 1, 2020, New York Attorney General Letitia James announced updates to the New York state securities laws. Among them are changes to the state’s blue sky filings requirements, which will be of particular interest to funds that rely on Rule 506 under the Securities Act of 1933, the most commonly relied upon exemption for hedge and private equity funds. The new rules are effective as of December 2, 2020.
Prior to these rule changes, New York required issuers to file a state-specific “Form 99,” along with copies of the Form D and Consent to Service of Process, with the Investor Protection Bureau of the Attorney General’s office ....

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New Reg D Rule 506 Filing Rules For New York | Fox Rothschild LLP

New Reg D Rule 506 Filing Rules For New York | Fox Rothschild LLP
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New York Modernizes Issuer Filing Requirements for Rule 506 Offerings | McGuireWoods LLP

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On Dec. 1, 2020, the New York Department of Law modernized its dealer rules to more closely align with federal requirements for a Regulation D Rule 506 offering. Under the amended rules, an issuer conducting a Rule 506 offering in New York must file a copy of the federal Form D with New York’s Investor Protection Bureau in lieu of the pre-offer Form 99 filing previously required.
Amended Rules for Issuers Conducting Rule 506 Offerings
Effective Dec. 2, 2020, issuers conducting a private placement offering in compliance with Rule 506 of Regulation D promulgated by the Securities and Exchange Commission (SEC) in New York must file a copy of the federal Form D with New York’s Investor Protection Bureau within 15 days of the first sale within or from New York. ....

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