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A Westchester County man was arrested this week for his role in a near decade-long Ponzi scheme that defrauded investors in New York and other parts of the country out of more than $1 million.White Plains resident James Doyle, 72, and Ca.
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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 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 with New Yor
Thursday, December 17, 2020
New York recently adopted new regulations that redefine the categories of “dealer” that would require mandatory notice and fee filings. The new regulations outline that the following issuers selling securities will be “dealers” (Dealers) under the New York Martin Act, and will be subject to new filing requirements, with mandatory compliance effective Feb. 1, 2021:
Federal Covered Regulation D Dealers
Federal Tier 2 Dealers
Federal Covered Investment Company Dealers
All other dealers that are issuers not falling under Section 359-e(1)(a) definition1 of dealer that issue real estate securities, and/or are not defined as any of the Dealers listed above, will be required to file the Form M-11, unless an available exemption from filing the Form M-11 is available and written application for the exemption is submitted.