N.Y. Comp. Codes R. & Regs. tit. 13 § 11.11

Current through Register Vol. 46, No. 43, October 23, 2024

Section 11.11 - Withdrawal of registration

(a) The application f or withdrawal of registration as an investment adviser or solicitor shall be completed by following the instructions on Form ADV-W (Notice of Withdrawal from Registration as Investment Adviser) ( 17 C.F.R. 279.2 ) and filed upon Form ADV-W with CRD/IARD. Instructions for Form ADV-W are published by the U.S. Securities and Exchange Commission, 10 0 F Street, NE Washington, DC 20549 and are viewable at https://ag.ny.gov/forms.

(b) The request for termination of registration as an investment adviser representative shall be completed by completing Form U5 on CRD/IARD.

N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.11

Amended New York State Register July 3, 2018/Volume XL, Issue 27, eff. 7/3/2018

Amended New York State Register December 2, 2020/Volume XLII, Issue 48, eff. 2/2/2021