Part 11. Investment Advisory Services
Index
- Part 11. Investment Advisory Services [Details]
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.1 General Provisions and Definitions
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.2 Use of Crd/iard
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.3 Hardship Exemptions
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.4 Registration Information
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.5 Notice Filing Requirements For Federally Covered Investment Advisers
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.6 Investment Adviser Examination Requirements
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.7 Waivers
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.8 Filing Fees
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.9 Record Keeping Requirements
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.10 Filing of Investment Advisory Literature and Advertisements
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.11 Withdrawal of Registration
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.12 Definitions
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.13 Exclusions and Exemptions
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.14 Financial Statements
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.15 Distribution of Investment Adviser Statement
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.16 [Repealed]
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.17 Forms
- N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.18 Denial, Suspension, Conditioning and Revocation of Registration Statements and Applications