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 11.18 - Denial, Suspension, Conditioning and Revocation of Registration Statements and Applications
Universal Citation: 13 NY Comp Codes Rules and Regs ยง 11.18
Current through Register Vol. 46, No. 12, March 20, 2024
(a) The attorney general may by order, deny, suspend, condition, or revoke any registration statement or application of any investment adviser, investment adviser representative, solicitor or principal made pursuant to GBL § 359-eee, in the public interest for good cause.
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