What form is filed if there is an amendment to a Rule 506, Regulation D offering and the issuer/company has previously filed a Form 99?
You must file an amended Form 99 with the Department of Law, there is no additional fee if you have paid the maximum registration fee of $1,200. Remember: New York registers issuers/companies not securities. The issuer’s registration is effective for 4 years. However, you must file a Further State Notice with the Department of State (www.dos.state.ny.us). Also see Question 53 if you paid the $300 registration fee and now your total offering amount is over $500 thousand. Material changes such as name, address or change of principal should be submitted on the Form 99 as an amendment accompanied by a $30 fee. Please indicate your registration number on all correspondence.
Related Questions
- What form is filed if there is an amendment to a Rule 506, Regulation D offering and the issuer/company has previously filed a Form 99?
- How long does it take to raise capital once we have completed the offering memorandum and filed the Form D with the SEC?
- Can an Assignment and Amendment be filed on the same form?
