Brokers, Dealers, Salespersons

For information on the Dec. 2, 2020 revisions to 13 NYCRR Part 10, please visit IPB Rule Proposal.

Frequently Asked Questions (FAQs)

We are updating our Frequently Asked Questions. Please review the Broker-Dealer and Securities Registration Information Sheet above and the Part 10 – EFD Form D Guidance for information on broker, dealer and salesperson registration.

Registration of People:

Of Firms:

  • Open Management Type Co. NF  (PDF) (replaces form M1A)

Exemption Filing General:

Designation of Service of Process Agent General:

  • Uniform Instruction Sheet (Designation Pro.)

Security Takeover

Notice of Appearance Form