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 13.6 - Time and place for filing

Universal Citation: 13 NY Comp Codes Rules and Regs ยง 13.6

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

(a) Form CBD, form CADV and form CM-2 must be filed with the Department of Law prior to engaging in any activity covered by the registration.

(b) The information required by sections 13.3 and 13.4 of this Part shall be filed no later than 30 days after the change in circumstances has occurred. Any changes which occur within 30 days of each other may be reported by filing one appropriate form with the applicable fee.

(c) Whenever in these regulations there is a reference to submission or filing with the Department of Law, this shall mean the New York State Department of Law, Bureau of Investor Protection and Securities, 28 Liberty Street, New York, NY 10005.

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