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

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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