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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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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 ,