New York Codes, Rules and Regulations (NYCRR)
Title 3 Part 409
Department of Financial Services
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Source version current through Feb 15, 2022
All 16 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.
3 NYCRR 409.1 - Definitions
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
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- Source version current through
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.2 - Applicability
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.3 - Licensing
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.4 - Temporary license during transition period
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.5 - Continuing duty to update licensing information; changes in officers and directors
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.6 - Change in control application; prior approval
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.7 - Suspension and revocation of a license
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.8 - Servicing standards
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.9 - Prohibited practices
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.10 - Examinations
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.11 - Reporting requirements
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.12 - Confidential supervisory information
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.13 - Books and records
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.14 - Cybersecurity
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.15 - Notifications
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.
3 NYCRR 409.16 - Severability
Related State Register notice: Adopted rule DFS-31-19-00007-A. Published Oct 16, 2019. Notice effective date: Oct 16, 2019.
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
- Feb 15, 2022
- Related Register notice
- DFS-31-19-00007-A · Adopted rule
- Related notice published
- Oct 16, 2019
- Related notice effective date
- Oct 16, 2019
Current section text is not available here.