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 11.5 - Notice filing requirements for federally covered investment advisers
Current through Register Vol. 46, No. 39, September 25, 2024
(a) Notice filing. The notice filing for a federally covered investment adviser shall be filed with CRD/IARD on an electronically signed Form ADV (Uniform Application for Investment Adviser Registration (17 C.F.R. 279.1)). All federally covered investment advisers with more than five (5) clients in the State of New York must notice file. A notice filing of a federally covered investment adviser shall be deemed filed when the fee required and the Form ADV are filed with and accepted by CRD/IARD on behalf of the State.
(b) Renewal. The annual renewal of the notice filing for a federally covered investment adviser shall be filed with CRD/IARD. The renewal of the notice filing for a federally covered investment adviser shall be deemed filed when the fee required is filed and accepted on behalf of the state.
(c) Updates and amendments. A federally covered investment adviser must file with CRD/IARD, in accordance with the instructions in the Form ADV, any amendments to the federally covered investment adviser's Form ADV. A federally covered investment adviser shall submit their amendments pursuant to U.S. Securities and Exchange Commission requirements.
(d) Investment adviser representatives representing a federally covered investment adviser must satisfy examination requirements or receive a waiver, and must register in accordance with this Part.
