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Professional Standards. New York Rules of Conduct with Comments (PDF) — Effective April 1, 2009, as amended through June 10, 2022, with commentary as amended though August 2, 2022.
The Securities Regulation Committee is made up of lawyers practicing in the areas of state and federal securities laws, including securities registration, securities and Investment Company Act exemptions, broker-dealer and investment adviser regulation, and related areas, such as the Municipal Advisor Rules.
The Rules are designed to provide guidance to lawyers and to provide a structure for regulating conduct through disciplinary agencies. They are not designed to be a basis for civil liability.
8 gru 2020 · On December 1, 2020, the New York State Attorney General, Letitia James, announced the adoption of final rules modernizing filing requirements relating to certain securities transactions and the registration of investment adviser representatives.
Information for broker-dealer and securities registration. Statutory authority General Business Law (GBL), Article 23-A, section 359-e and section 359-f and Supplementing Department Regulations, New York Codes, Rules, and Regulations (NYCRR), title 13, part 10: Brokers, Dealers, and Salespersons.
It is not entirely clear at the moment which professional accrediting bodies will seek to have their members qualify under this new rule. However, the SEC initially deems a FINRA Series 7, Series 65, or Series 82 license will qualify investors under this new rule.
By Order dated April 19, 2024, the New York Court of Appeals amended Part 520 of the Rules of the Court of Appeals for the Admission of Attorneys and Counselors at Law to more closely align the eligibility requirements with the American Bar Association’s Standards for the Approval of Law Schools.
