Request for M-10 filing date is now available on REF website by clicking here.
- A.G. Schneiderman Announces Court Order Barring Sales In Manhattan Club Timeshare Hotel (7/25/2014)
- REF releases new memo stating Broker-Dealer registration requirements (7/10/2014)
- RPL section 421-a (6/24/2014)
- TPT Conversion Memo ( 6/3/2014)
- RPL Section 339-i and Part 20 Compliance (5/14/2014)
- A.G. Schneiderman Announces Permanent Ban On NYC Attorney From Securities Work For Allegedly Facilitating Fraud In Condo Sales (04/23/2014)
- Occupied Buildings and Part 20 Plans (3/4/2014)
- A.G. Schneiderman Announces Court Order Barring Property Developers Africa Israel And Shaya Boymelgreen From Securities Sales Pending Fraud Investigation (02/28/2014)
- The Department of Law has updated the disclosure requirements for foreign applicants registering as broker-dealers. All foreign applicants are now required to provide the Department of Law with one of the following forms of identification as a part of the registration process: 1) Social Security Number; 2) ITIN; or 3) Passport Number from country of origin. Updated m-10 and M-3 forms are now available.