N.Y. Comp. Codes R. & Regs. tit. 13 § 13.7

Current through Register Vol. 46, No. 45, November 2, 2024

Section 13.7 - Duration of registration

(a) Registration is for a period of one year from date of filing.

(b) A registration renewal is executed on form CBD, form CM-2 or form CADV in the same manner as the original registration. Such application should contain complete answers to all questions and not merely statements that there are no changes since the last registration.

(c) A registered commodity broker-dealer or commodity investment advisor may terminate its registration by filing form CM-3.

N.Y. Comp. Codes R. & Regs. Tit. 13 § 13.7

Amended New York State Register July 3, 2018/Volume XL, Issue 27, eff. 7/3/2018