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This may be done in letter form. 12. ag. ny. gov ISSUER STATEMENT Section 359-e General Business Law Issuer Name Principal Office Address City State Zip Code Telephone Number Note This form should not to be used by issuers engaged in any aspect of real estate or mortgage financing unless they also obtain a letter upon written application pursuant to General Business Law Section 352-e or 352-g. Theatrical Syndication must comply with Article 23 of the Arts and Cultural Affairs Law. Contact the R ...

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Who oversees brokerage firms?

The Financial Industry Regulatory Authority (FINRA) writes and enforces rules that govern registered brokers and broker-dealer firms in the United States. FINRA also administers the qualifying exams for securities professionals. FINRA provides resources, such as BrokerCheck, that help to protect investors.

Do broker-dealers have to register with FINRA?

To conduct securities transactions and business with the investing public in the United States, both firms and individuals must be registered with FINRA. Firms must apply and meet certain membership standards to become a FINRA-registered broker-dealer.

Who regulates broker-dealers in New York State?

The Office of the New York State Attorney General regulates broker-dealers, investment advisors, commodities salespersons, and theatrical syndications and ticket distributors.

What is the issuer exemption?

Issuers Exemption (Rule 3a4-1) This includes issuers that purchase their securities from investors, as well as issuers that effectively operate markets in their own securities or in securities whose features or terms can change or be altered.

How do I register as a broker dealer in NY?

FINRA broker-dealers must register by filing Form BD through the Central Registration Depository (CRD) online portal. All correspondence to FINRA should be sent to: P.O. Box 9401, Gaithersburg MD 20898-9401. All pertinent information is received through the CRD by the New York State Department of Law.

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Are broker-dealers regulated by the SEC?

Identifying when a person is acting as a broker or a dealer is important because generally broker-dealers must register with the SEC.

Who is the regulatory oversight for broker-dealers?

FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is authorized by Congress to protect Americas investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers across the countryand analyze billions of daily market events.

Who governs broker-dealers?

FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both. A Capital Acquisition Broker is a Broker Dealer subject to a narrower rule book.

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