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 13.4 - Supplemental commodity salesperson's statement

Universal Citation: 13 NY Comp Codes Rules and Regs ยง 13.4

Current through Register Vol. 46, No. 39, September 25, 2024

(a) In compliance with paragraph 14(e) of section 359-e of the General Business Law, every commodity salesperson who shall have filed a commodity salesperson's statement (form CM-2) with the Department of Law shall file a supplemental commodity salesperson's statement (form CM-4) whenever the information contained in the original filing becomes inaccurate or incomplete in any material respect, including but not limited to the following:

(1) Name.

Any change in the name of the registrant.

(2) Address.

Any change of residence address of the registrant.

(3) Termination of employment.

Any termination of employment as a commodity salesperson, giving the date of termination and reason therefor.

(4) Change of employment.

Any new employment as a commodity salesperson, giving the name and address of the new firm and the date of commencement of employment as a salesperson.

(5) Injunctions and other proceedings.

Any change in disciplinary history, including but not limited to each occasion when the registrant becomes the subject of any criminal action, or is convicted of any misdemeanor or felony, or is the subject of any pending civil action commenced by a government agency relating to the offer or sale of securities or commodities, or is the subject of any injunction or cease and desist order relating to the offer or sale of securities or commodities.

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