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 11.17 - Forms

Universal Citation: 13 NY Comp Codes Rules and Regs ยง 11.17

Current through Register Vol. 46, No. 12, March 20, 2024

All forms are available on the Department of Law's website at https://ag.ny.gov/forms.

(a) Form ADV.

Uniform Application f or Investment Adviser Registration, parts 1 and 2.

(b) Form ADV-H.

Application for Temporary or Continuing Hardship Exemption .

(c) Form ADV-W.

Notice of Withdrawal From Registration as Investment Adviser.

(d) Form NY-IAQ.

New York Investment Adviser Qualification. (Retired) .

(e) Form U4.

Uniform Application f or Securities Industry Registration or Transfer.

(f) Form U5.

Uniform Termination Notice for Securities Industry Registration.

(g) Form NY-IASW.

New York Special Waiver Qualification Under 13 NYCRR 11.7(b).

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.