New York Codes, Rules and Regulations (NYCRR)
Title 11 Part 136
Department of Financial Services
Browse the NYCRR by title, part, and section.
Keep reading with a free account
You’re seeing the citations, headings, dates, and change information for Title 11 Part 136. Create a free account to read the section text.
No credit card required. Sign up with Google, Microsoft, or email.
Source versions current through Jun 30, 2021 - Nov 30, 2021 across sections
Sections in this Part carry different compiled dates; each section shows its own.
11 NYCRR 136-1.1 - Preamble
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-1.2 - Definitions
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-1.4 - Accounting practices
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-1.6 - Discharge of fiduciary responsibilities
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-1.9 - Implementation
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.1 - Purpose
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.2 - Definitions
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Nov 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Nov 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.3 - Fiduciary responsibilities
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.4 - Governance responsibilities and ethics provisions
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.5 - Transparency and financial reporting
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.6 - Financial soundness and actuarial principles
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.
11 NYCRR 136-2.7 - Implementation
Related State Register notice: Adopted rule DFS-09-21-00010-A. Published Jun 9, 2021. Notice effective date: Jun 9, 2021.
Source version current through Jun 30, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- Jun 30, 2021
- Related Register notice
- DFS-09-21-00010-A · Adopted rule
- Related notice published
- Jun 9, 2021
- Related notice effective date
- Jun 9, 2021
Current section text is not available here.