The New York Cover sheet To Accompany Investment Advisor Forms is a document used by financial advisors in the state of New York to provide information about an advisor’s business activities and interests. The cover sheet is used to ensure that the investment advisor is registered with the New York State Department of Financial Services. The cover sheet can also be used to provide additional information, such as the name and contact information of the investment advisor, the nature of the services provided, the entity/individuals for whom services are provided, the location of the office where the services are provided, and any other information required by the department. There are two types of New York Cover sheet To Accompany Investment Advisor Forms: the Investment Advisor Registration Cover sheet and the Investment Advisor Exemption Cover sheet. The Investment Advisor Registration Cover sheet is used by those who are registered with the New York State Department of Financial Services and the Investment Advisor Exemption Cover sheet is used by those who are exempt from the registration requirements.
New York Coversheet To Accompany Investment Advisor Forms
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FAQ
(a) Except as provided in subsection (b) and section 203A, it shall be unlawful for any investment adviser, unless registered under this section, to make use of the mails or any means or instrumentality of interstate commerce in connection with his or its business as an investment adviser.
To protect investors and ensure the market's integrity, FINRA?the Financial Industry Regulatory Authority?is a government-authorized not-for-profit organization that oversees U.S. broker-dealers.
Investment advisers may be primarily regulated by the U.S. Securities and Exchange Commission (SEC) or by one or more state securities authorities. Each state has one securities regulatory authority, but some investment advisers may be regulated by more than one state.
The SEC regulates investment advisers who manage $110 million or more in client assets, while state securities regulators have jurisdiction over advisers who manage up to $100 million.
If a solicitor firm is not a federally covered investment adviser, it is required to register as an investment adviser in New York and ensure that its representatives, supervisors and principals meet the examination and registration requirements for persons associated with state registered investment advisers.
The Office of the New York State Attorney General regulates broker-dealers, investment advisors, commodities salespersons, and theatrical syndications and ticket distributors. We provide regulations for professionals who register with our office.
Section 204A of the Advisers Act requires investment advisers (whether SEC-registered or not) to establish, maintain, and enforce written policies and procedures reasonably designed to prevent the misuse of material, nonpublic information by the investment adviser or any of its associated persons.
The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules").