N.Y. Comp. Codes R. & Regs. Tit. 13 § 11.11 - Withdrawal of registration
(a)
The application f or withdrawal of registration as an investment adviser or
solicitor shall be completed by following the instructions on Form ADV-W
(Notice of Withdrawal from Registration as Investment Adviser) (
17
C.F.R. 279.2 ) and filed upon Form ADV-W with
CRD/IARD. Instructions for Form ADV-W are published by the U.S. Securities and
Exchange Commission, 10 0 F Street, NE Washington, DC 20549 and are viewable at
https://ag.ny.gov/forms.
(b) The
request for termination of registration as an investment adviser representative
shall be completed by completing Form U5 on CRD/IARD.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.