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register through the Central Registration Depository (CRD), online portal. All pertinent information is received through the CRD by the New York State Department of Law. pass the Series 63 Uniform Securities Agent State Law Exam or Series 66 Uniform Combined State Law Exam.
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.
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
Step 1. Get Your Education. While the New York Investor Protection Bureau has not set specific education requirements for registered representatives, many broker-dealer firms will only consider applicants who hold a four-year degree.
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.
10 mar 2021 · To meet the examination requirement, investment adviser representatives must achieve a passing grade on either (i) the Uniform Investment Adviser Law Examination (Series 65 Examination); or (ii) all three (3) of the following exams: (a) the Securities Industry Essentials Examination; (b) the General Securities Representative Examination (Series ...
28 sty 2021 · Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom).
