Investment Advisers

Investment Adviser Registration

Investment Adviser Temporary/Continuing Hardship Exemption

Investment Adviser Notice of Withdrawal From Registration

Investment Adviser Qualification (retired as of February 1, 2021)

Investment Adviser Special Waiver (Effective February 1, 2021)

  • NY-IASW
    Special Waiver Qualification Under 13 NYCRR 11.7(b) for Investment Adviser Representatives of State Registered Investment Advisers or Federally Covered Investment Advisers (effective February 1, 2021)

Investment Adviser Regulations

For information regarding the February 1, 2021 rule changes to 13 NYCRR Part 11, please visit: IPB Rule Change.