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 11.11 - Withdrawal of registration
Universal Citation: 13 NY Comp Codes Rules and Regs ยง 11.11
Current through Register Vol. 46, No. 12, March 20, 2024
(a) The application f or withdrawal of registration as an investment adviser or solicitor shall be completed by following the instructions on Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) ( 17 C.F.R. 279.2 ) and filed upon Form ADV-W with CRD/IARD. Instructions for Form ADV-W are published by the U.S. Securities and Exchange Commission, 10 0 F Street, NE Washington, DC 20549 and are viewable at https://ag.ny.gov/forms.
(b) The request for termination of registration as an investment adviser representative shall be completed by completing Form U5 on CRD/IARD.
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.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
