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Commodity Broker-Dealers, Salespersons and Investment Advisors | Midpage
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New York Codes, Rules and Regulations
Title 13
Chapter II
Subchapter A. Securities—General
Part 13
Commodity Broker-Dealers, Salespersons and Investment Advisors
Department of Law
13.1
Definitions.
13.2
Registration of commodity broker-dealers, salespersons and investment advisors.
13.3
Supplemental commodity statement.
13.4
Supplemental commodity salesperson's statement.
13.5
Filing fees.
13.6
Time and place for filing.
13.7
Duration of registration.
13.8
Fee receipt.