New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL
Subchapter A - SECURITIES-GENERAL
Part 13 - COMMODITY BROKER-DEALERS, SALESPERSONS AND INVESTMENT ADVISORS
Section 13.2 - Registration of commodity broker-dealers, salespersons and investment advisors
Current through Register Vol. 46, No. 12, March 20, 2024
(a) In compliance with subdivision 14 of section 359-e of the General Business Law, all commodity broker-dealers shall file form CBD with the Department of Law. All commodity salespersons shall file form CM-2 with the Department of Law. All commodity investment advisors shall file form CADV with the Department of Law. Any person who manages or supervises any such commodity broker-dealer, salesperson or investment advisor shall supply the information set forth and required on forms CBD and CADV. All officers, directors, principals, partners, managers, supervisors and 10 percent or more equity holders of commodity broker-dealers and commodity investment advisors shall file form CI-1 with the Department of Law. Each of the above forms shall be subscribed and sworn to by the signer thereof and notarized.
