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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.
A. 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.
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.
Dealerships and transporters operating in New York State must be licensed by DMV and agree to abide by the Commissioner's Rules and Regulations.
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.
Private companies can process certain transactions with the New York State Department of Motor Vehicles (DMV) on-site. This privilege requires a contract with the DMV. Processing occurs through a computer system linked to the DMV.
New Yorkers must apply for a REAL ID or Enhanced license by going into a DMV office and presenting the necessary documentation, even if they currently have a non-upgraded license. They may not apply online or by mail.
