New York Codes, Rules and Regulations (NYCRR)
Title 3 Part 402
Department of Financial Services
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Source version current through Feb 15, 2022
All 23 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.
3 NYCRR 402.1 - Definitions
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3 NYCRR 402.2 - Application for a license
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3 NYCRR 402.3 - Services to be provided by licensee
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3 NYCRR 402.4 - Duration of qualifier experience
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3 NYCRR 402.5 - Provision for surety bond
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3 NYCRR 402.6 - Deposit of assets in lieu of surety bond; assets eligible for deposit
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3 NYCRR 402.7 - Deposit agreement; certificate of licensee
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3 NYCRR 402.8 - Reports of changes in directors, bylaws and certificate of incorporation of licensee
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3 NYCRR 402.9 - Debtors contact with licensees and department
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3 NYCRR 402.10 - Right of debtors to rescind contract
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3 NYCRR 402.11 - Term and termination; assignment
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3 NYCRR 402.12 - Unfair or deceptive acts or practices
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3 NYCRR 402.13 - Reports to be filed with the superintendent
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3 NYCRR 402.14 - Changes to licensee's fee structure
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3 NYCRR 402.15 - No commingling of licensee's funds
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3 NYCRR 402.16 - Licensee's privacy policy
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3 NYCRR 402.17 - Office display
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3 NYCRR 402.18 - Change of location
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3 NYCRR 402.19 - Reports of arrests, convictions, etc
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3 NYCRR 402.20 - Reports of misconduct
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3 NYCRR 402.21 - Books and records
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3 NYCRR 402.22 - Licensee's return of unused debtor funds
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3 NYCRR 402.23 - Effective date
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