Part 10. Brokers, Dealers and Salespersons
Index
- Part 10. Brokers, Dealers and Salespersons [Details]
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.1 Registration of Securities Broker-Dealers, Issuers, and Salespersons; Effective Date
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.2 Central Registration For Finra Member Broker-Dealers and Salespersons of Finra Members
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.3 Supplemental Broker-Dealer Statements For Non-Finra Members
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.4 Supplemental Salesperson's Statement For Salespersons Employed By a Non-Finra Member Firm
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.5 Fee For Supplemental Statements
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.6 Alternative Method of Filing Supplemental Salesperson's and Broker-Dealer Statements and Fees Attendant Thereto
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.7 Annual Renewal For Finra Member Broker-Dealers
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.8 Filing Fees
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.9 Filing Time Limit
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.10 Definitions
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 10.11 Alternative Method of Filing For Certain Dealers