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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.
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
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).
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.
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.
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 ...
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.
