New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL
Subchapter A - SECURITIES-GENERAL
Part 11 - INVESTMENT ADVISORY SERVICES
- Section 11.1 - General provisions and definitions
- Section 11.2 - Use of CRD/IARD
- Section 11.3 - Hardship exemptions
- Section 11.4 - Registration information
- Section 11.5 - Notice filing requirements for federally covered investment advisers
- Section 11.6 - Investment adviser examination requirements
- Section 11.7 - Waivers
- Section 11.8 - Filing fees
- Section 11.9 - Record keeping requirements
- Section 11.10 - Filing of investment advisory literature and advertisements
- Section 11.11 - Withdrawal of registration
- Section 11.12 - Definitions
- Section 11.13 - Exclusions and Exemptions
- Section 11.14 - Financial statements
- Section 11.15 - Distribution of investment adviser statement
- Section 11.16
- Section 11.17 - Forms
- Section 11.18 - Denial, Suspension, Conditioning and Revocation of Registration Statements and Applications
Current through Register Vol. 46, No. 39, September 25, 2024
Statutory authority: General Business Law, art. 23-A, § 359-eee
Disclaimer: These regulations may not be the most recent version. New York may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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