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New York streamlines and modernizes Regulation D filing procedures | Bryan Cave Leighton Paisner

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New York recently adopted new rules to, among other things, eliminate its cumbersome and confusing Form 99 blue sky notification filing requirement for many Regulation D offerings and instead require electronic notice filings on Form D for those offerings. New York’s Martin Act previously required companies to manually file an originally-signed Form 99
before offering or selling private placement securities to New York investors.
Effective December 2, 2020, New York’s new Regulation D filing procedures are now generally consistent with the 1996 National Securities Market Improvement Act and with procedures in other states, which allow companies selling “covered securities” under Rule 506 of Regulation D to provide notice to the state through the North American Association of Securities Administrators (“NASAA”) Electronic Filing Depository (“EFD”). The Form D now is required to be filed ....

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New York Drags Its Securities Filings Into the 21st Century | Manatt, Phelps & Phillips, LLP

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New rules will simplify the notice filing process for private placements by requiring filings be made on a Form D via the North American Securities Administrators Association multistate Electronic Filing Depository, consistent with how such filings have long been made in most other states.
On December 1, 2020, the New York Attorney General announced the adoption of regulatory amendments governing registration of securities sold to residents in the state. In a press release, the Attorney General described these changes as the latest in ongoing efforts to “streamline and enhance the oversight of the securities industry in New York.” ....

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New York Attorney General Issues Guidance Clarifying Filing Requirements for Regulation D Private Placements | Troutman Pepper

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On December 1, the New York attorney general issued guidance that issuers selling covered securities must provide notice through the Electronic Filing Depository (EFD) of the North American Association of Securities Administrators. The guidance eliminates the need to file a pre-closing Form 99, effectively settling disagreement among practitioners as to whether New York ever had the right to require issuers of securities in Rule 506 private placements to comply with the state’s longstanding Form 99 filing requirement, in light of the blue sky preemption provisions of the National Securities Markets Improvement Act of 1996 (NSMIA). ....

New York , United States , Exchange Commission , American Association Of Securities Administrators , National Securities Markets Improvement , Electronic Filing Depository , North American Association , National Securities Markets Improvement Act , Securities Act , Securities Regulation , Business Law Section , New York State Bar Association , Martin Act , புதியது யார்க் , ஒன்றுபட்டது மாநிலங்களில் , பரிமாற்றம் தரகு , தேசிய பத்திரங்கள் சந்தைகள் முன்னேற்றம் , மின்னணு தாக்கல் வைப்புத்தொகை , வடக்கு அமெரிக்கன் சங்கம் , தேசிய பத்திரங்கள் சந்தைகள் முன்னேற்றம் நாடகம் , பத்திரங்கள் நாடகம் , பத்திரங்கள் ஒழுங்குமுறை , வணிக சட்டம் பிரிவு , புதியது யார்க் நிலை மதுக்கூடம் சங்கம் , மார்டின் நாடகம் ,