A7966 (2023-24 session)
NY State bill
Requires individuals who perform compliance functions, duties or tasks to obtain a compliance officer or compliance practitioner license; establishes application and examination requirements to obtain, and continuing education requirements to maintain, licensure; permits the superintendent to issue licensing procedures and to prescribe regulations necessary for the proper supervision of compliance officers and practitioners.
- Title
- Requires individuals who perform compliance functions, duties or tasks to obtain a compliance officer or compliance practitioner license
- Type
- New York State Assembly bill
- Session
- 2023-24 session
- Status
- In Assembly Committee
- Latest action date
- 2024-01-03
- In committee
- Banks
- Introduced
- 2023-08-18
- Same as
- S5879
- Law section
- Financial Services Law
Sponsors
- David I. Weprin Assembly Member, District 24
Heard in committee
- Banks NY State Assembly committee