N.Y. Banking Law Section 513
Reports to superintendent

On or before the first day of April in each year, every investment company shall make a written report to the superintendent of financial services which shall contain a statement of its condition on the morning of the first day of January in said year and shall be in the form and contain the matters prescribed by the superintendent. The superintendent may, however, in his discretion accept from an investment company which has branches in a foreign country or countries, a report containing a statement of its condition as of a date not later than the first day of January and not earlier than the first day of November in the preceding year. Every such report shall be subscribed and affirmed as true under the penalties of perjury, according to the best of their knowledge and belief, by the two principal officers of the investment company at the time of such subscription, and shall state that the usual business of the investment company has been transacted at the location or locations required by this article and not elsewhere. Every such investment company shall also make such other special reports to the superintendent as he may from time to time require, which shall be in such form and filed at such date as may be prescribed by the superintendent and shall, if required by him, be subscribed and affirmed as true under the penalties of perjury.

Source: Section 513 — Reports to superintendent, https://www.­nysenate.­gov/legislation/laws/BNK/513 (updated Sep. 22, 2014; accessed Feb. 28, 2026).

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Feb. 28, 2026

Last modified:
Sep. 22, 2014

§ 513. Reports to superintendent's source at nysenate​.gov

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