Overview

Does maintaining a place of business in the state trigger a notice filing (regardless of number of clients)?

No. 

What is the maximum number of clients adviser can have in the state without triggering a notice filing?


N.Y. COMP. CODES R. & REGS. tit. 13,§ 11.5(a) (2017).

What sorts of clients are not counted for purposes of determining whether to notice file?

None. 
N.Y. COMP. CODES R. & REGS. tit. 13,§ 11.5 (2017).


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