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New Registration And Examination Requirements For New York Investment Adviser Representatives | Lowenstein Sandler LLP

What You Need To Know:
Personnel for certain investment advisers and solicitors with natural person clients in New York will have to meet new registration and examination requirements.
Affected persons must be approved before December 2, 2021, to continue conducting investment advisory business in New York state.
Effective February 1, 2021, amendments to the New York Investment Advisory Act (the “Amendments”) require supervised persons representing certain New York-registered investment advisers, and, to a lesser degree, investment advisers registered with the Securities and Exchange Commission (“SEC”), to register with the New York Department of Law’s Investor Protection Bureau (the “Department”) and meet new examination requirements. These supervised persons, called investment adviser representatives, have until August 31, 2021 to meet the new requirements and must have their registration approved before December 2, 2021 to continue operating within New ....

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NY Adopts New Investment Registration and Examination Requirements

Thursday, January 28, 2021
Key Points
Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom).
With respect to investment advisers registered with the Securities and Exchange Commission (SEC), these new registration and examination requirements will only apply to individuals who meet the federal definition of an investment adviser representative, while a broader range of persons associated with New York State-registered investment advisers will be subject to those requirements.
In addition, New York will now impose registration and examination requirements with respect to entities and individuals that qualify as solicitors, as defined in the state s revised rules. ....

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New York Adopts New Registration and Examination Requirements for Certain Investment Adviser Related Personnel and Solicitors | Katten Muchin Rosenman LLP

Key Points
Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination requirements (or qualify for exemptions therefrom).
With respect to investment advisers registered with the Securities and Exchange Commission (SEC), these new registration and examination requirements will only apply to individuals who meet the federal definition of an investment adviser representative, while a broader range of persons associated with New York State-registered investment advisers will be subject to those requirements.
In addition, New York will now impose registration and examination requirements with respect to entities and individuals that qualify as solicitors, as defined in the state s revised rules. ....

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February 1, 2021 Deadline: Mandatory Registration for New York Investment Advisers | Bressler, Amery & Ross, P.C.

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On December 1, 2020, the New York State Department of Law finalized proposed amended regulations to the New York Investment Advisory Act, 13 N.Y.C.R.R. Section 11, requiring investment adviser representatives (“IAR”) who engage in business within or from New York to register with the New York Investor Protection Bureau and meet certain exam requirements. Previously, New York state-covered IARs were not required to register like IARs in most other states by filing a Form U4 through FINRA’s CRD/IARD system. That meant that New York IARs were legally able to conduct business without providing the typical publically available disclosures to investors through the FINRA-operated Investment Adviser Public Disclosure (“IAPD”) website. ....

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