New York Part 13 Commodity Broker-Dealers, Salespersons and Investment Advisors are individuals or companies who provide services related to buying and selling commodities and securities, and providing advice on investments. They are subject to New York State regulations and must be registered with the New York State Department of Financial Services (NY SDFS). There are two types of New York Part 13 Commodity Broker-Dealers: Futures Commission Merchants (FCS) and Introducing Brokers (IBS). FCS are registered with both the NY SDFS and the Commodity Futures Trading Commission (CFTC). They are responsible for executing customer orders buying and sell commodities or commodity-related investments, as well as providing advice about such investments. IBS are registered with the NY SDFS and typically broker trades for customers with FCS, but do not provide advice about investments. New York Part 13 Salespersons are individuals who are registered with the NY SDFS and are employed by a registered broker-dealer to solicit customers for a variety of investments, such as stocks and bonds. New York Part 13 Investment Advisors are individuals or companies that are registered with the NY SDFS and provide professional advice about investments to customers. They are required to act in the best interests of their customers.
New York Part 13 Commodity Broker-Dealers, Salespersons and Investment Advisors
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