Investment Advisers
Investment Adviser Registration
- Coversheet
- Form ADV: General Instructions
- Form ADV-Part 1A
- Form ADV-Part 1B
- Form ADV-Part 2
- Form ADV-Execution Page
- IA Registration Chart
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.