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New York Codes, Rules and Regulations
Title 13
Chapter II
Subchapter A. Securities—General
Part 11
Investment Advisory Services
Department of Law
11.1
General provisions and definitions.
11.2
Use of CRD/IARD.
11.3
Hardship exemptions.
11.4
Registration information.
11.5
Notice filing requirements for federally covered investment advisers.
11.6
Investment adviser examination requirements.
11.7
Waivers.
11.8
Filing fees.
11.9
Recordkeeping requirements.
11.10
Filing of investment advisory literature and advertisements.
11.11
Withdrawal of registration.
11.12
Definitions.
11.13
Exemptions and exemptions.
11.14
Financial statements.
11.15
Distribution of investment adviser statement.
11.16
[Repealed]
11.17
Forms.
11.18
Denial, suspension, conditioning and revocation of registration statements and applications.