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Letitia James

New York State Attorney General

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How can we help you?

    • Appeal a background check
    • Apply for a Job/Internship
    • Do Business with the OAG
    • File a Complaint
    • Find Legal Services
    • Know My Rights
    • Make a FOIL Request
    • Register/Submit a Filing
    • Report a Data Breach
    • Request a Publication
    • Serve Papers on OAG
    • Use the student ePayment portal
    • Use the Whistleblower Portal
  • Home
  • Investments, Registration & Regulation
  • IPB Rule Change

IPB Rule Change

Investments, Registration & Regulation

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 

Proposed Rules (April 15, 2020, not final)

  • Summary of IPB Rule of Proposals 
  • Full Text of Proposed Changes to 13 NYCRR 10
  • Full Text of Proposed Changes to 13 NYCRR 11
Frequently Asked Questions

Letitia James

New York State Attorney General

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Office of the New York State Attorney General
The Capitol
Albany NY 12224-0341
Phone: 1-800-771-7755

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