New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter IV - INTRASTATE FINANCING
Part 80 - INTRASTATE FINANCING
Section 80.13 - Prefiling procedure (optional)
Current through Register Vol. 46, No. 12, March 20, 2024
(a) Prior to formal filing of an offering, an issuer may submit the proposed offering literature to the Department of Law and request a prefiling conference. Three copies of such prospectus and two copies of an unsigned form INTRASTATE 1 (Filing of Intrastate Prospectus) should accompany such request together with draft copies of all supplemental information documents as set forth in section 80.3 hereof.
(b) Where an issuer proposes to use form INTRASTATE 5 (Short Form Prospectus) in lieu of a full prospectus, two unsigned copies of forms INTRASTATE 1 and 5 together with draft copies of all supplemental information documents as set forth in section 80.3 of this Part should be submitted to the Department of Law with a request for a prefiling conference.
(c) Where an issuer seeks an exemption from any requirement a single draft copy of an exemption application should be submitted to the Department of Law with a request for a prefiling conference.
(d) Issuers and their counsel who wish prefiling conferences at a Department of Law office other than the New York City office should so indicate in their conference request so that provision can be made to send personnel from the New York City office to the other office. The availability of conferences out of New York City will be dependent upon the number of requests and the availability of personnel.
