N.Y. Comp. Codes R. & Regs. tit. 19 § 195.9

Current through Register Vol. 46, No. 25, June 18, 2024
Section 195.9 - Supervisory responsibility

A licensee has an affirmative duty to provide supervision to employees and for all business activities. Such supervision shall consist of regular, frequent and consistent personal guidance, instruction, oversight and superintendence by the qualifying license holder with respect to the general business conducted by the firm and all matters relating thereto.

N.Y. Comp. Codes R. & Regs. Tit. 19 § 195.9