IA- New York Form NY-IASW (Special Waiver Qualification)

The New York Form NY-IASW Special Waiver Qualification is for Investment Adviser Reps who may qualify for a special waiver in lieu of the IA exam requirements in the state of NY.  As part of the NY’s revisions to 13 NYCRR Part 11 effective February 1, 2021 through December 2, 2021, IA Reps are required to file a Form U4 on CRD and must satisfy exam requirements or receive a waiver. IA Reps who may qualify for a special waiver must submit the Form NY-IASW request form pursuant to new rule 13 NYCRR 11.7(b) after submission of Form U4 requesting RA registration in NY. Members also downloaded New York Investment Adviser Qualification and Request for Waiver of Examination Form

Version/Update: V.2/8/21/February 8, 2021

Total Page Count/Format: 1/.pdf

Source/Author(s): NY Office of the Attorney General