Supplemental commodity statement
Source version current through Jan 15, 2026
Source details
- NYCRR title agency
- Department of Law
- Section status
- Section source receipt
- Source version current through
- Jan 15, 2026
- Text saved
- Jun 6, 2026
- Publisher current-through date
- Jan 15, 2026
- Source captured
- Sep 13, 2026
- Stored text comparison
- Matches the captured source text
- Related Register notice
- LAW-13-18-00010-A · Adopted rule
- Related notice published
- Jul 3, 2018
- Related notice effective date
- Jul 3, 2018
Any change in the name of the registrant. However, in the event the registrant incorporates, an entirely new registration statement must be filed.
Any change of business address or address of each new branch office.
Any change in the officers, directors, partners, 10 percent or more equity holders or other principals of the registrant or any person who manages or supervises the commodity broker-dealer, commodity investment advisor or the commodity salespersons, giving the name and address of each such person involved in the change.
Any change in commodity salespersons of a registered commodity broker-dealer, giving name and date of termination of any salespersons leaving the registrant's employ and the reasons therefor, and the name and commencement date of any salespersons brought into the employ of the registrant.
Any change in disciplinary history, including, but not limited to, each occasion when the registrant or any officer, director, partner, principal, managing person or supervisor, 10 percent or more equity holder or salesperson thereof becomes the subject of any criminal action, or is convicted of any misdemeanor or felony, or is the subject of any pending civil action commenced by a government agency relating to the offer or sale of securities or commodities, or is the subject of any injunction or cease and desist order relating to the offer or sale of securities or commodities.