N.Y. Comp. Codes R. & Regs. tit. 13, § 11.11 – Withdrawal of registration. | Midpage
§ 11.11
N.Y. Comp. Codes R. & Regs. tit. 13, § 11.11
Withdrawal of registration.
Department of Law
(a) The application for withdrawal of registration as an investment adviser or solicitor shall be completed by following the instructions on Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) (17 CFR 279.2) and filed upon Form ADV-W with CRD/IARD. Instructions for Form ADV-W are published by the U.S. Securities and Exchange Commission, 100 F Street, NE Washington, DC 20549 and are viewable at https://ag.ny.gov/forms.
(b) The request for termination of registration as an investment adviser representative shall be completed by completing Form U5 on CRD/IARD.