IPB Rule Change
Adopted Rules
- 13 NYCRR 10 Unofficial Dealers, Brokers, Salespersons (Effective December 2, 2020)
- 13 NYCRR 11 Unofficial IAs, FCIAs, IARs (Effective February 1, 2021)
- Summary of Adopted Rules
- Assessment of Comment to Part 10
- Assessment of Comment to Part 11
- Adopted Revisions to 13 NYCRR 10 (Effective December 2, 2020)
- Adopted Revisions to 13 NYCRR 11 (Effective February 1, 2021)
Guidance
- Part 10 – EFD Form D Guidance
- Part 11 – IAR Registration Guidance
- Part 11 – Exam Requirement and Waiver Guidance
- Part 11 – 13 NYCRR 11.18 Guidance
Mass Registration Process for IARs of Firms with 20 or More Applicants
- Information on New York Mass Registration Process
- Draft attestation to be included with Mass Registration submission (Updated)
- Template to be Attached to Mass Registration Attestation
- Supplemental Information on Mass Registration Process
Proposed Rules (April 15, 2020, not final)