Tag Archives: RIA Registration

Agent Registration Required for New York Investment Adviser Representatives

The New York Investment Advisory Act (the “Rule”) has been amended, and effective February 1, 2021, New York requires investment adviser representatives (“IARs”) who render investment advice or act as a solicitor from a place of business in New York, or supervise such activities, to meet examination requirements, and register with the State of New … Continue reading Agent Registration Required for New York Investment Adviser Representatives