Regulatory Documents

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Bureau:
Investor Protection (IPB)

13 NYCRR 10 Unofficial Dealers, Brokers, Salespersons(Effective December 2, 2020)

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Bureau:
Investor Protection (IPB)

13 NYCRR 11 Unofficial IAs, FCIAs, IARs(Effective February 1, 2021)

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Bureau:
Investor Protection (IPB)

2008 NASAA Franchise Registration And Disclosure Guidelines Commentary

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Bureau:
Investor Protection (IPB)

Adopted Revisions to 13 NYCRR 10(Effective December 2, 2020)

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Bureau:
Investor Protection (IPB)

Adopted Revisions to 13 NYCRR 11(Effective February 1, 2021)

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Bureau:
Investor Protection (IPB)

Assessment of Comment to Part 10

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Bureau:
Investor Protection (IPB)

Assessment of Comment to Part 11

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Bureau:
Investor Protection (IPB)

ATS-2 DISCONTINUANCE OF OFFERING

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Bureau:
Investor Protection (IPB)

Business Entity (RI-1)

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Bureau:
Investor Protection (IPB)

CHAPTER III THEATRICAL SYNDICATION FINANCING PART 50 THEATRICAL FINANCING

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Bureau:
Investor Protection (IPB)

COMMODITY BROKER-DEALERS, SALESPERSONS AND INVESTMENT ADVISORS PART 13

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Bureau:
Investor Protection (IPB)

COMMODITY BROKER/DEALER STATEMENT

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Bureau:
Investor Protection (IPB)

COVERSHEET TO ACCOMPANY INVESTMENT ADVISER FORMS

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Bureau:
Investor Protection (IPB)

Did Not Amend Registration

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Bureau:
Investor Protection (IPB)

Exemption Form For Franchisor To An Existing Franchisee Pursuant TO GBL § 684(3)(D)

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Bureau:
Investor Protection (IPB)

Federal Covered Investment Company Dealers (formerly Open End Investment Companies) Heading > Form NF

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER & REPORT BY EXEMPT REPORTING ADVISERS

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 1B

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements

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Bureau:
Investor Protection (IPB)

FORM ADV DOMESTIC INVESTMENT ADVISER EXECUTION PAGE

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Bureau:
Investor Protection (IPB)

Form ADV-H APPLICATION FOR A TEMPORARY OR CONTINUING HARDSHIP EXEMPTION

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Bureau:
Investor Protection (IPB)

Form ADV: General Instructions

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Bureau:
Investor Protection (IPB)

Form BD Uniform Application for Broker-Dealer Registration

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Bureau:
Investor Protection (IPB)

Form BDW Uniform Request for Broker-Dealer Withdrawal

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Bureau:
Investor Protection (IPB)

Form CADV COMMODITY INVESTMENT ADVISOR STATEMENT

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