Temporary Submission and Review Policies & Procedures
Due to COVID-19 State of Emergency
We hope this memo finds you and your families healthy and safe.
In our continuing effort to keep you apprised of events impacting the ability of our clients to continue doing business during the public health emergency, we attach a new guidance document issued by the Attorney General entitled, “Temporary Submission and Review Policies and Procedures Due to COVID-19 State of Emergency.” This guidance document is effective as of March 25, 2020 until further notice.
These new guidance document is available at the following web address:
We urge you to review these temporary policies carefully. The guidance document covers, among other topics, sales made after the expiration of an offering plan, price change amendments, broker-dealer registration statements, changed policies concerning the submission of original signatures and notarized documents and revisions to submission requirements. Clients should note that the Attorney General has reserved the right to modify or rescind the temporary policies and procedures detailed in the guidance document at any time, and will do so by updating the guidance document.
We will continue to provide our clients with status updates as events warrant. Please do not hesitate to call us with any questions or concerns.
Please Note: This email is intended solely to alert readers to issues of general interest and should not be construed as legal advice. For advice about particular facts and legal issues, readers should consult legal counsel. This material may constitute “Attorney Advertising” under New York State court rules.