IM Coffee Chat - Session Nineteen: NYAG Blue Sky Law Modernization in Practice

Date: June 09, 2021

Time: 10:30 a.m. - 11:00 a.m. ET

Contact: Elise Hoffer, 513.352.6748 -

A complimentary webinar presented by Thompson Hine LLP

Join us for a mid-morning break to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

Wednesday, June 9

10:30 – 11:00 a.m. ET

Session Nineteen: NYAG Blue Sky Law Modernization in Practice

The New York Attorney General recently adopted regulatory amendments to its anti-fraud law, known as the Martin Act. These amendments modernized Blue Sky filing requirements for securities sold or offered in New York using the exemptions available under Regulation D of the Securities Act of 1933 and created new investment adviser representative requirements. Please join us as we examine how these amendments affect the notice filings process for issuers and what role the NYAG assumes in their implementation and enforcement.

Topics include:
• How to apply the regulations to your business in practice
• Understanding new filing requirements for private funds
• Changes in Reg D and electronic filing considerations
• New rules for investment advisers and representatives


Upcoming program in this series (you must register separately for each):

June 2 – Memorial Day Break – No Coffee Chat
June 23 – Handing Regulatory Inquiry – Step One: Practice Makes Perfect with Mock Exams

Contact Elise Hoffer