Hardin Joins Thompson Hine to Discuss New York’s Modernized Blue Sky Law

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investment adviser regulatory compliance manager



As Thompson Hine Chats with Managing Director, Denise Alfieri





Session Nineteen of the Investment Management Coffee Chat Webinar Series

A webinar presented by Thompson Hine LLP

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

Wednesday, June 9th
10:30 – 11:00 a.m. Eastern

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.

In this presentation, we will discuss:

  • 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; and,
  • New rules for investment advisers and representatives.







Contact Elise Hoffer