N.Y. Comp. Codes R. & Regs. tit. 13 § 11.17
Current through Register Vol. 46, No. 41, October 9, 2024
All forms are available on the Department of Law's website at https://ag.ny.gov/forms.
Uniform Application f or Investment Adviser Registration, parts 1 and 2.
Application for Temporary or Continuing Hardship Exemption.
Notice of Withdrawal From Registration as Investment Adviser.
New York Investment Adviser Qualification. (Retired).
Uniform Application f or Securities Industry Registration or Transfer.
Uniform Termination Notice for Securities Industry Registration.
New York Special Waiver Qualification Under 13 NYCRR 11.7(b).
N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.17