13 NYCRR 11.5 — read free

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Notice filing requirements for federally covered investment advisers

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: Jul 8, 2026

(a)Notice filing.

The notice filing for a federally covered investment adviser shall be filed with CRD/IARD on an electronically signed Form ADV (Uniform Application for Investment Adviser Registration [17 CFR 279.1]). All federally covered investment advisers with more than five clients in the State of New York must notice file. A notice filing of a federally covered investment adviser shall be deemed filed when the fee required and the Form ADV are filed with and accepted by CRD/IARD on behalf of the State.

(b)Renewal.

The annual renewal of the notice filing for a federally covered investment adviser shall be filed with CRD/IARD. The renewal of the notice filing for a federally covered investment adviser shall be deemed filed when the fee required is filed and accepted on behalf of the State.

(c)Updates and amendments.

A federally covered investment adviser must file with CRD/IARD, in accordance with the instructions in the Form ADV, any amendments to the federally covered investment adviser's Form ADV. A federally covered investment adviser shall submit their amendments pursuant to U.S. Securities and Exchange Commission requirements.

(d)Investment adviser representatives representing a Federally covered investment adviser must satisfy examination requirements or receive a waiver, and must register in accordance with 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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Notice filing requirements for federally covered investment advisers

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.