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New York Uniform Investment Company Notice Filing

Category:
New York Secretary of State - Blue Sky - Investor Protection and Securities
State:
New York
Control #:
NY-AG-NF
Format:
PDF
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Description

Uniform Investment Company Notice Filing New York Uniform Investment Company Notice Filing is a filing requirement for investment companies, defined as any corporation, trust, partnership, or other entity engaged in the business of investing or trading in securities. The filing is made with the New York Department of Financial Services (DFS) and provides notice that the investment company has established a place of business in New York. The filing is intended to provide information about the company's activities and investments to the DFS, which can then assess the company's compliance with state laws and regulations. The New York Uniform Investment Company Notice Filing is divided into two types: a "basic filing" and an "expanded filing". The basic filing is required for all entities engaging in the business of investing or trading in securities, and covers only general information about the company. The expanded filing is required for certain additional activities, including broker-dealer activity, investment adviser activity, commodities trading, and private fund activity. The expanded filing includes additional information about the company's activities, such as its financial statements and the names of its officers and directors.

New York Uniform Investment Company Notice Filing is a filing requirement for investment companies, defined as any corporation, trust, partnership, or other entity engaged in the business of investing or trading in securities. The filing is made with the New York Department of Financial Services (DFS) and provides notice that the investment company has established a place of business in New York. The filing is intended to provide information about the company's activities and investments to the DFS, which can then assess the company's compliance with state laws and regulations. The New York Uniform Investment Company Notice Filing is divided into two types: a "basic filing" and an "expanded filing". The basic filing is required for all entities engaging in the business of investing or trading in securities, and covers only general information about the company. The expanded filing is required for certain additional activities, including broker-dealer activity, investment adviser activity, commodities trading, and private fund activity. The expanded filing includes additional information about the company's activities, such as its financial statements and the names of its officers and directors.

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New York Uniform Investment Company Notice Filing
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