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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.
All issuers of securities shall register as Broker-Dealers by filing*: Securities Offerings: M-11 Issuer Statement. Regulation A, Tier 1 Offering [1933 Act §3(b)(1)] Public Offerings (Rule 504, Rule 505, Other Non-Covered Public Offerings) [1933 Act] Covered Securities: Form 99.
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.
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.
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 ...
2 paź 2024 · Financial securities licenses like Series 7 and Series 63 are required by individuals who market and sell investments or securities.
