Time and place for filing
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
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- Sep 13, 2026
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- 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
(a)Form CBD, form CADV and form CM-2 must be filed with the Department of Law prior to engaging in any activity covered by the registration.
(b)The information required by sections 13.3 and 13.4 of this Part shall be filed no later than 30 days after the change in circumstances has occurred. Any changes which occur within 30 days of each other may be reported by filing one appropriate form with the applicable fee.
(c)Whenever in these regulations there is a reference to submission or filing with the Department of Law, this shall mean the New York State Department of Law, Bureau of Investor Protection and Securities, 28 Liberty Street, New York, NY 10005.