Log-In  |  Contact  |  Careers



   
  HOME  
  ABOUT  
  PRODUCTS  
  DATA  
  NEWS  
  MEMBERSHIP  
  IPLs  
  TECHNOLOGY  
  REGULATORY  
  EDUCATION  
  SHAREHOLDERS  
    Initial Private ListingsTM ("IPL")

U.S. and non U.S. companies may now list their unregistered securities at NYPPEX through an Initial Private Listing ("IPL").

NYPPEX provides access to over $10 billion in global private market liquidity through its 76 institutional members (as of June 1,2007).

NYPPEX listed companies (a) enable shareholders, officers and directors to periodically access liquidity by selling unregistered securities and (b) may issue unregistered securities to raise capital in the global private markets.

Eligibility:
  

U.S. and non U.S. private companies (including C corporations and limited liability companies) deemed suitable for investment by venture, private equity, buyout or debt funds.

Reporting Requirements:
  

In general (a) financial statements (unaudited quarterly reports and audited annual reports), (b) annual report, (c) articles of incorporation (includes liquidation preferences for classes of issued securities), (d) capitalization table and (e) CEO and CFO certifications as to the establishment of audit and compensation committees, and internal controls.

  

Not required are (a) an outside auditor opinion regarding internal controls as per Section 404 of the Sarbanes-Oxley Act and (b) registration with the SEC (assumes fewer than 500 shareholders).

Shareholder Controls:
  

In general, NYPPEX listed companies approve (or disapprove) prospective buyers of their unregistered securities prior to settlement.

Information Controls:
  

NYPPEX list companies control how their non-public information is made available to outside parties.

  

Company information may only be accessed by qualified institutional or accredited investors that have been granted permission to access such information. Typically, non-disclosure agreements are required from perspective buyers.




 
 |  Alliances |  Ad Opportunities |  Copyright Notices |  Business Continuity |  Terms of Use |  Privacy & Security | 

Upgrading to either Internet Explorer 6.0, installing Macromedia Flash, and Adobe Acrobat will ensure a complete online experience at NYPPEX.

© Copyright 2008 NYPPE Holdings, LLC. All Rights Reserved. Unauthorized duplication, distribution, or public display is strictly prohibited by federal law. Usage will be monitored. All securities are offered through NYPPEX, LLC. Member NASD, SIPC. Restricted securities may contain a high degree of risk. In general, buy orders may only be placed by Accredited Investors as defined in Rule 501(a) of Regulation D.