Changing state-by-state regulations multiplied by dozens or hundreds of funds and thousands of transactions makes managing the exponential moving parts of Blue Sky permitting time-consuming and expensive. In fact, Blue Sky administration demands its very own expertise.
We provide a unique and powerful combination of robust software and domain expertise to ensure your funds are in compliance and exempted transactions are acknowledged, minimizing reputation risk and maximizing fund resources.
Backed by our Blue Sky Solution™, our professionals work with your compliance department to facilitate the daily operations and meet Blue Sky compliance responsibilities, ensuring that firms meet every filing deadline and maintain current state authorizations, reducing potential liabilities and allowing firms to more effectively manage offering amounts and filing fees.
LexisNexis Risk professionals provide end-to-end Blue Sky services making it easy to carve out Blue Sky functions so your management can focus on core functions. We can help you:
Issuers of Rule 506 offerings are required to comply with a complex set of both federal and state notice filing requirements related to critical investments. To comply, the entire process must be completed no later than 15 days after the first notice of investment in each state. Some states require a separate Form U-2, regardless of the consent language in Form D — increasing complexity.
Our compliance experts combine decades of experience with our robust Blue Sky Solution™ to ensure that your firm remains compliant.