New York State-Registered RIA Compliance
Compliance resources and tools tailored for state-registered investment advisors in New York.
Regulatory Authority
New York Attorney General — Investor Protection Bureau
Exam frequency: Risk-based, varies by firm profile
New York advisers with $25M–$100M AUM must register with the SEC, not the state.
Fee data: IARD IA Firm Fee Schedule (11/1/2025), IAR Fee Schedule (3/6/2026)
Key New York Compliance Requirements
State-specific regulations that New York RIAs must follow.
NASAA Model Rules
NASAA has adopted model rules covering custody, books & records, ethics, marketing, and more. Individual state adoption varies.
NASAA model rule adoption varies by state and is governed by each state's securities regulations. For New York-specific adoption status, consult the New York Attorney General — Investor Protection Bureau. For verified adoption data across all states, see our State Adoption Tracker.
New York Exam Preparation
Be ready when your state examiner schedules an inspection.
Document Preparation
Ensure all required books, records, and compliance documentation are organized and accessible.
Compliance Program Review
Verify your written compliance policies address all state-specific requirements.
Staff Training Records
Maintain documentation of ongoing compliance training for all advisory personnel.
Regulatory Filings
Confirm all state registration filings, amendments, and renewals are current.
Ready to simplify New York compliance?
Compliance Approved helps New York state-registered RIAs stay compliant with automated tracking and documentation.