All regulated entities and licensed persons of the New York State Department of Financial Services (DFS) are required to file various notices to the Superintendent.

• January 2019 Covered Entities Must File Notices of Exemption
• • Exemptions filed in 2017 and 2018 have expired. Any DFS regulated entity or licensed person that is currently entitled to an exemption must file an Initial Notice of Exemption prior to the February 15, 2019 due date for the annual Certification of Compliance.
• February 15, 2019 Compliance Certification Filing Deadline
• • Regulated entities and licensed persons must file the Certification of Compliance for calendar year 2018 no later than February 15, 2019.

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