Upcoming Webinar

Licensing IARs under New York’s New Requirements

$69.95

During this webinar our Senior Compliance Consultants discussed New York’s new Investment Adviser Representative licensing requirements and what it means for your investment adviser firm (“RIA”).

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Description

During this webinar our Senior Compliance Consultants discussed New York’s new Investment Adviser Representative licensing requirements and what it means for your investment adviser firm (“RIA”).

Recorded April 22, 2021.

Related Posts

New York IAR Licensing – Updated Investment Adviser Compliance Manual Section – February 22, 2021

New York IAR – Special CRD Exam Waiver Window Opens 02/27/2021 – February 16, 2021

New York Investment Adviser Representative Registration Requirement Now Effective – February 1, 2021

New York Adopts Investment Adviser Representative Registration Rule – December 7, 2020

Proposed Rule to License New York Investment Adviser Representatives – April 15, 2020

Mid-Sized Investment Advisers Required to Register with the SEC Rather than New York Investor Protection Bureau – August 31, 2012

New York Investment Advisor Firm & Investment Adviser Representative State Registration Requirements

Form U4 FAQs

Frequently Asked Questions – Series 65 Examination

Related Sample Forms

Sample Compliance Manual Section – IAR Licensing in New York

Delivery and Engagement

Before submitting the online payment for this service you will be prompted to execute an electronic contract. (If you would like to view or execute this electronic engagement now, please click here). Once we have received your executed agreement along with your online payment, we will email you instructions on how to provide RIA Compliance Consultants with user access to your IARD/Web CRD Account. This will allow us to prepare and submit documents on your behalf.

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