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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.
13 paź 2024 · During divorce proceedings in New York, the valuation of brokerage accounts and investment portfolios is a crucial aspect of the asset division process. The courts employ various methods to establish the fair market value of these financial assets.
13 paź 2024 · Navigating the financial implications of divorce in New York can be complex, especially with regard to stock dividends and capital gains. This comprehensive guide explores how investment income is classified, the importance of accurate asset valuation, and the role of tax considerations in equitable distribution.
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.
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).
Dividing private equity holdings during a divorce in New York can be a complex process, requiring careful consideration and strategic planning. One effective method is to employ negotiation techniques that facilitate open communication between both parties.
The revised form is posted on the Divorce Resources website under Statewide Official Forms at effective July 1, 2022. The revisions in the PC Order are designed to implement the newly harmonized Matrimonial Rules into the form. Revised Forms for Use in Matrimonial Actions in Supreme Court were adopted effective March 1, 2022.
