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Attorney General James Continues to Modernize and Streamline Investment Adviser and Securities Filings in New York State

NEW YORK – New York Attorney General Letitia James today announced additional guidance further elaborating on recent rule amendments prepared by the Investor Protection Bureau (IPB) and adopted in 2020. ....

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New York Attorney General James Continues To Modernize And Streamline Investment Adviser And Securities Filings In New York State - New Rules And Guidance Add Transparency And Protection For Industry And Investors

<p><span>New York Attorney General Letitia James today announced additional guidance further elaborating on recent rule amendments prepared by the Investor Protection Bureau (IPB) and adopted in 2020. Through these new rules, the Office of the Attorney General (OAG) has increased transparency for the public into the investment adviser representatives and securities issuers operating in New York state. </span></p> ....

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New York Updates Form D Filing Procedures - Corporate/Commercial Law

Eliminates Certain Form 99 Filings with the Investor
Protection Bureau of the Department of Law
Background
Regulation D under the U.S. Securities Act of 1933, as amended
(the 1933 Act ), permits the sale of securities by
issuers of those securities without registration under the 1933
Act.
1 An issuer claiming an exemption under
Regulation D must electronically file Form D with the U.S.
Securities and Exchange Commission (the SEC), thereby notifying the
SEC of the Regulation D offering, no later than 15 calendar days
after the first sale of securities in the offering.
2
Under Section 18 of the 1933 Act
3, any private
placement made in accordance with Rule 506 of Regulation D will ....

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