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Home | Thompson Hine LLP

Atlanta

Chicago

Cincinnati

Cleveland

Columbus

Dayton

Los Angeles (As of 7.1.24)

New York

Washington, D.C.

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

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

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

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

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

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Viewing of these pages does not establish an attorney-client relationship. The information above is informational purposes only and should not be construed as legal advice. A lawyer should be consulted to confirm both applicability and any other issues that might affect or apply to your situation.