N.Y. Comp. Codes R. & Regs. tit. 13 § 11.18

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

Section 11.18 - Denial, Suspension, Conditioning and Revocation of Registration Statements and Applications

(a) The attorney general may by order, deny, suspend, condition, or revoke any registration statement or application of any investment adviser, investment adviser representative, solicitor or principal made pursuant to GBL § 359-eee, in the public interest for good cause.

N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.18

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