New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL
Subchapter A - SECURITIES-GENERAL
Part 10 - BROKERS, DEALERS AND SALESPERSONS
- Section 10.1 - Registration of securities broker-dealers, issuers, and salespersons; effective date
- Section 10.2 - Central registration for FINRA member broker-dealers and salespersons of FINRA members
- Section 10.3 - Supplemental broker-dealer statements for non-FINRA members
- Section 10.4 - Supplemental salesperson's statement for salespersons employed by a non-FINRA member firm
- Section 10.5 - Fee for supplemental statements
- Section 10.6 - Alternative method of filing supplemental salesperson's and broker-dealer statements and fees attendant thereto
- Section 10.7 - Annual renewal for FINRA member broker-dealers
- Section 10.8 - Filing fees
- Section 10.9 - Filing time limit
- Section 10.10 - Definitions
- Section 10.11 - Alternative method of filing for certain dealers
Current through Register Vol. 46, No. 39, September 25, 2024
Statutory authority: General Business Law, art. 23-A; § 359-e
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