13 NYCRR 11.1 — read free

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General provisions and definitions

Compiled text through Jan 15, 2026

No later Register activity identified in this check.

Dates and status

Compiling agency: Department of Law
Text status: Source receipt
Compiled text through: Jan 15, 2026
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: No later Register activity identified in this check.
Latest notice: LAW-15-20-00017-A · Adopted rule · Feb 2, 2021
Source snapshot: Jun 6, 2026

(a)Effective date.

The revisions to this Part shall go into effect on February 1, 2021.

(b)Short title.

Chapter 961 of the Laws of 1960, as amended, when referred to in all rules and regulations promulgated by the Attorney General relating thereto, shall be referred to as the "New York Investment Advisory Act."

(c)Administration.

The Investor Protection Bureau of the Department of Law shall be responsible for the administration of the New York Investment Advisory Act. Whenever in this Part there is reference to a submission of filing with the Department of Law, this shall mean the Investor Protection Bureau, 28 Liberty Street, New York, NY 10005 or the designee.

(d)Designation.

The Attorney General may by regulation, rule or order designate the web-based Investment Advisor Registration Depository (IARD) or Central Registration Depository (CRD) operated by the Financial Industry Regulatory Authority (FINRA) to receive and store filings and collect related fees from investment advisers and investment adviser representatives, on behalf of the Attorney General. (Information regarding CRD is available at https://www.finra.org. Information regarding IARD is available at www.sec.gov and www.iard.com).

State Register activity

2 rulemakings · 4 notices

Investment advisers defined under General Business Law, section 359-eee.
LAW-15-20-00017Department of LawPart-level action
The Register recorded this action against the whole Part, which includes this section (13 NYCRR Part 11).
1. Adopted ruleLAW-15-20-00017-A
  Amendment of Part 11 of Title 13 NYCRR.
  Register Dec 2, 2020 · Filed Nov 17, 2020 · Effective Feb 2, 2021
  Register PDF, pp. 33–38
2. Proposed ruleLAW-15-20-00017-P
  Amendment of Part 11 of Title 13 NYCRR.
  Register Apr 15, 2020
  Register PDF, pp. 14–16
Brokers, dealers and salespersons defined under General Busi- ness Law section 359-e.
LAW-15-20-00018Department of LawPart-level action
The Register recorded this action against the whole Part, which includes this section (13 NYCRR Part 11).
1. Adopted ruleLAW-15-20-00018-A
  Amendment of Part 10 of Title 13 NYCRR.
  Register Dec 2, 2020 · Filed Nov 17, 2020 · Effective Dec 2, 2020
  Register PDF, pp. 38–42
2. Proposed ruleLAW-15-20-00018-P
  Brokers, dealers and salespersons defined under General Busi- ness Law, section 359-e.
  Amendment of Part 10 of Title 13 NYCRR.
  Register Apr 15, 2020
  Register PDF, pp. 16–19

State Register notices matched to this citation. This is Register status evidence, not compiled regulation text: a notice does not by itself amend the text shown here.

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General provisions and definitions

State Register activity

Investment advisers defined under General Business Law, section 359-eee.

Brokers, dealers and salespersons defined under General Busi- ness Law section 359-e.