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New York Codes Rules Regulations (Last Updated: March 27,2024) |
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TITLE 13. Department of Law |
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Chapter II. Securities Transactions and Personnel |
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Subchapter A. Securities—General |
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Part 13. Commodity Broker-Dealers, Salespersons and Investment Advisors |
| 13 CRR-NY II A 13 Notes |
| Sec. 13.1. Definitions |
| Sec. 13.2. Registration of commodity broker-dealers, salespersons and investment advisors |
| Sec. 13.3. Supplemental commodity statement |
| Sec. 13.4. Supplemental commodity salesperson's statement |
| Sec. 13.5. Filing fees |
| Sec. 13.6. Time and place for filing |
| Sec. 13.7. Duration of registration |
| Sec. 13.8. Fee receipt |