13 NYCRR 11.17 — read free

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Forms

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

All forms are available on the Department of Law’s website at https://ag.ny.gov/forms.

(a)Form ADV.

Uniform Application for Investment Adviser Registration, parts 1 and 2.

(b)Form ADV-H.

Application for Temporary or Continuing Hardship Exemption.

(c)Form ADV-W.

Notice of Withdrawal From Registration as Investment Adviser.

(d)Form NY-IAQ.

New York Investment Adviser Qualification. (Retired).

(e)Form U4.

Uniform Application f or Securities Industry Registration or Transfer.

(f)Form U5.

Uniform Termination Notice for Securities Industry Registration.

(g)Form NY-IASW.

New York Special Waiver Qualification Under section 11.7(b) of this Part.

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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Forms

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.