Ny m 11 2025

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The document is a form from the New York State Department of Law, specifically for issuers to file an Issuer Statement under Section 359-e of the General Business Law. It collects information about the issuer, including its name, address, type of organization, business description, proposed securities offerings, and details regarding any past legal or regulatory issues involving the issuer or its principals. The form also outlines filing fees based on the offering amount and requires signatures from key individuals associated with the issuer.

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Click ‘Get Form’ to open the NY M-11 in our editor.
Begin by entering the File Number, which can be found on your fee receipt for original filing.
In the Issuer Statement section, provide the Issuer Name and Principal Office Address, including City, State, and Zip Code.
Indicate whether the issuer is an existing or proposed entity by checking the appropriate box and specifying the type of organization.
Describe the business of the issuer briefly in the designated field.
Select what type of securities will be offered (e.g., stock, bonds) and indicate how they will be sold.
Fill in financial details such as total amount of offering and anticipated expenses. Attach any necessary literature or letters as required.
Complete sections regarding any outstanding judgments or disciplinary actions against officers or partners, providing additional statements if necessary.
Finally, ensure all required signatures are provided at the end of the form before submitting it through our platform.

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2014	4.9 Satisfied (266 Votes)
2006	4.2 Satisfied (39 Votes)

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Who oversees brokerage firms?

The Financial Industry Regulatory Authority (FINRA) writes and enforces rules that govern registered brokers and broker-dealer firms in the United States. FINRA also administers the qualifying exams for securities professionals. FINRA provides resources, such as BrokerCheck, that help to protect investors.

Do broker-dealers have to register with FINRA?

To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.

Who regulates broker-dealers in New York State?

The Office of the New York State Attorney General regulates broker-dealers, investment advisors, commodities salespersons, and theatrical syndications and ticket distributors.

form m 11

Ny m 11 pdf Ny m 11 requirements New York securities Division New York Investor Protection Bureau New York securities Act new york 359-f(2) exemption New york securities division phone number Form 99 New York

What is the issuer exemption?

Issuers Exemption (Rule 3a4-1) This includes issuers that purchase their securities from investors, as well as issuers that effectively operate markets in their own securities or in securities whose features or terms can change or be altered.

How do I register as a broker dealer in NY?

FINRA broker-dealers must register by filing Form BD through the Central Registration Depository (CRD) online portal. All correspondence to FINRA should be sent to: P.O. Box 9401, Gaithersburg MD 20898-9401. All pertinent information is received through the CRD by the New York State Department of Law.

Are broker-dealers regulated by the SEC?

Identifying when a person is acting as a broker or a dealer is important because generally broker-dealers must register with the SEC.

Who is the regulatory oversight for broker-dealers?

FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect Americas investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the countryand analyze billions of daily market events.

Who governs broker-dealers?

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book.