New York Codes, Rules and Regulations
Title 11 - INSURANCE
Chapter I - GENERAL PROVISIONS
Part 10 - Proxies, Consents And Authorizations Of Domestic Stock Insurers
Section 10.7 - Material required to be filed
Current through Register Vol. 46, No. 12, March 20, 2024
(a) Two preliminary copies of the proxy statement and form of proxy and any other soliciting material to be furnished to stockholders concurrently therewith shall be filed with the superintendent at least 10 days prior to the date definitive copies of such material are first sent or given to stockholders, or such shorter period prior to that date as the superintendent may authorize upon a showing of good cause therefor.
(b) Two preliminary copies of any additional soliciting material relating to the same meeting or subject matter to be furnished to stockholders subsequent to the proxy statements shall be filed with the superintendent at least two days (exclusive of Saturdays, Sundays or holidays) prior to the date copies of this material are first sent or given to stockholders or a shorter period prior to such date as the superintendent may authorize upon a showing of good cause therefor.
(c) Two definitive copies of the proxy statement, form of proxy and all other soliciting material, in the form in which this material is furnished to stockholders, shall be filed with, or mailed for filing to, the superintendent not later than the date such material is first sent or given to the stockholders.
(d) Where any proxy statement, form of proxy or other material filed pursuant to these rules is amended or revised, two of the copies shall be marked to clearly show such changes.
(e) Copies of replies to inquiries from stockholders requesting further information and copies of communications which do no more than request that forms of proxy theretofore solicited be signed and returned need not be filed pursuant to this section.
(f) Notwithstanding the provisions of subdivisions (a) and (b) hereof and of subdivision (e) of section 10.10 of this Part, copies of soliciting material in the form of speeches, press releases and radio or television scripts may, but need not, be filed with the superintendent prior to use or publication. Definitive copies, however, shall be filed with or mailed for filing to the superintendent as required by subdivision (c) hereof not later than the date such material is used or published. The provisions of subdivisions (a) and (b) hereof and subdivision (e) of section 10.10 of this Part shall apply, however, to any reprints or reproductions of all or any part of such material.
