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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.
Here you’ll find detailed step-by-step instructions on how to become a stockbroker in New York by securing the necessary license and becoming registered with a self-regulatory authority recognized by the Securities and Exchange Commission (SEC).
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
Issuers making intrastate (only in New York) offerings of securities (where the business is not primarily real estate) must comply with GBL § 359ff of the General Business Law by filing a prospectus and obtaining a filing letter or by obtaining an
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. Scroll down for related resources.
26 gru 2023 · The FINRA Series 8 license, officially known as the General Securities Sales Supervisor Qualification Examination (GS), is a regulatory requirement for individuals supervising the sales activities of general securities representatives.
12 kwi 2024 · Administered by FINRA and known as the general securities representative license, the Series 7 license authorizes you to sell virtually any type of individual security, such as preferred stocks, options, bonds, and other individual fixed income investments—plus all forms of packaged products.
