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 13.7 - Duration of registration
Universal Citation: 13 NY Comp Codes Rules and Regs ยง 13.7
Current through Register Vol. 46, No. 12, March 20, 2024
(a) Registration is for a period of one year from date of filing.
(b) A registration renewal is executed on form CBD, form CM-2 or form CADV in the same manner as the original registration. Such application should contain complete answers to all questions and not merely statements that there are no changes since the last registration.
(c) A registered commodity broker-dealer or commodity investment advisor may terminate its registration by filing form CM-3.
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