Forms

• § 359-f(2) Exemption Instruction Sheet
  Exemption instruction sheet
• § 359-f(2) Exemption Instruction Sheet Printable PDF
  Exemption instruction sheet
• Amendment to Prospectus
  For intrastate offerings, amendment to prospectus
• Annual Report (Intrastate)
  Intrastate annual report form
• Antitrust Bureau Complaint Form
  A brief description of the Antitrust Bureau's role and the complaint form specific to the bureau
• Appointing Your Healthcare Agent in New York State
  Healthcare proxy form, also including instructions and frequently asked questions
• ATS-1 Application For Exemption From Accounting Requirements
  An application for exemption from accounting requirements of Article 23
• ATS-2 Discontinuance Of Offering
  Discontinuance of offering form
• Breach in Security: Security Breach Reporting Form
  Pursuant to the Information Security Breach and Notification Act
• Brochure Request Form
  The online order form to request OAG publications
• Broker-Dealer and Securities Registration Information Sheet
  Information about procedures for issuers of securities to register as broker-dealers
• CADV Commodity Investment Advisor Statement §359-e(14)
  Commodity investment advisor statement
• CBD Commodity Broker-Dealer Statement §359-e(14)
  Commodity broker-dealer statement
• CD-11/CD-11 Price Increase Form
  A form that real estate professionals must submit along with all price increase amendments
• CHAR 001 - LT
  Registration Statement for Charitable Lead Trusts
• CHAR 001 - Lti
  Instructions for form CHAR 001 – LT
• CHAR 001 - RT
  Registration statement for Charitable Remainder Trusts
• CHAR 001 - RTi
  Instructions for form CHAR 001 – RT
• CHAR 004 (2007)
  Annual filing for Charitable Lead Trusts for 2007
• CHAR 004 (2006)
  Annual filing for Charitable Lead Trusts for 2006
• CHAR 004i
  Instructions for form CHAR 004
• CHAR 009
  Summary of registration and filing requirements for fund raising professionals
• CHAR 012
  Professional solicitor registration statement
• CHAR 013
  Professional fund raiser registration statement
• CHAR 014
  Fund raising counsel registration statement
• CHAR 015
  Annual bond form (for professional fund raisers)
• CHAR 016
  Professional fund raiser/fund raising counsel contract certification and addendum to contract with charitable organizations
• CHAR 017
  Form for charitable solicitation for the relief of an individual
• CHAR 037
  Professional fund raiser interim/closing statement
• CHAR 410
  Registration statement for use by charitable organizations
• CHAR 410-A
  Amendment to registration statement
• CHAR 410i
  Instructions for forms CHAR 410, CHAR 410-A, CHAR 410-R, and Schedule E
• CHAR 410-R
  Re-registration statement, for use by charitable organizations whose registration has been canceled
• CHAR 500 (2007)
  Annual Report of Charitable Organizations for Annual Filing Year Beginning in 2007
• CHAR 500 (2006)
  Annual Report of Charitable Organizations for Annual Filing Years Beginning in 2006
• CHAR 500 (2005)
  Annual Report of Charitable Organizations for Annual Filing Years Beginning in 2005
• CHAR 500 (2004)
  Annual Report of Charitable Organizations for Annual Filing Years Beginning in 2004
• CHAR 500-C
  Combined Annual Financial Report
• CHAR 500-Ci
  Instructions for form CHAR 500-C
• CHAR 500i
  Instructions for form CHAR 500
• CHAR 500qg
  Quick guide for form CHAR 500
• CharExt Request
  Procedures for requesting by email an extension of time to file an annual report
• Charities Bureau Complaint/Inquiry Form
  An introduction to the role and jurisdiction of the Charities Bureau, followed by a form for submitting complaints or inquiries to this bureau
• Charities Forms and Brochures Index
  Page of links with Charities Bureau-specific forms
• CI-1 Commodity Information Sheet
  Commodity info sheet
• Civil Rights Complaint Form (English)
  A discrimination complaint form
• Civil Rights Complaint Form (Spanish) / Querella de Discriminación
  A discrimination complaint form
• Clinic Access Complaint Form in English
  Form for complaints about protesters outside a reproductive healthcare facility physically obstructing patient or staff access to the facility or otherwise interfering with access
• Clinic Access Complaint Form in Spanish / Querella Sobre el Acceso a una Clínica
  Form for complaints about protesters outside a reproductive healthcare facility physically obstructing patient or staff access to the facility or otherwise interfering with access
• CM-2 Commodity Salesperson Statement
  Commodity salesperson statement, which must always be accompanied by the supplemental commodity statement
• CM-3 Supplemental Commodity Statement
  Supplemental commodity statement
• CM-4 Supplemental Commodity Salesperson Statement
  Supplemental commodity salesperson statement
• Commonly Requested Forms
  A page with links to commonly requested healthcare-related forms
• Complaint Form for Environmentally Related Matters
• Complaints Against Charities, Non-profits & Fundraisers
  Explains the jurisdiction of the Charities Bureau and gives instructions for filing the complaint; includes the complaint form itself as well
• Consumer Frauds Bureau Complaint Form
  A consumer complaint form
• Consumer Frauds Bureau Complaint Form (En Español)
  A consumer complaint form
• Contractor Tip Card   (Español)
  Home Improvement Contractor Tip Card
• Cooperative/Condominium Apartment Offering Questionaire for Non-Tenant Subscribers
  A questionaire form for real estate professionals to give to non-tenant subscribers
• Cooperative/Condominium Apartment Offering Questionaire for Tenant Subscribers
  A questionnaire form for real estate professionals to give to tenant subscribers
• Co-Ops, Condos & Homeowners Association Complaint Form
  A complaint form for any member of a co-op, condo, or homeowners association
• Coversheet to Accompany Investment Advisor Forms
  The required coversheet to go with the investment adviser forms at the end of the registration year
• Designation
  Instruction for filing a designation of the Secretary of State
• Discrimination Complaint Form
  A complaint form for any type of discrimination
• Discrimination Complaint Form (Spanish)
  A complaint form for any type of discrimination
• E-1 Sample Effectiveness Affidavit
  An exhibit to the effectiveness amendment and must be delivered with the amendment to all offerees as required by New York State law
• Email the OAG
  An online form for asking questions or making comments to the OAG
• Employment Application – Civil Service Positions
  The employment application for Civil Service Positions at the New York State Office of the Attorney General
• ETF Escrow Trust Fund Model Amendment
  Form - Provision of a new disclosure contained in the Escrow Trust Fund Model Amendment
• ETF-1 Application for a Determination on the Disposition of Down Payments
  Application to the Attorney General for a determination on the disposition of down payments
• ETF-3 Model Agreement
  A sample form for escrow agreements
• Filing of Intrastate Prospectus
  For the purpose of updating or amending the prospectus or filing required reports
• Form 99 Notification Filing
  Notification filing form (with instructions), pursuant to National Securities Markets Improvement Act of 1996 (NSMIA)
• Form ADV- Execution Page, Uniform Application for Investment Adviser Registration
  The execution pages for the application for investment adviser registration
• Form ADV- Part 1A Uniform Application for Investment Adviser Registration
  The first part of the application for investment advisers to register
• Form ADV- Part 1B Uniform Application for Investment Adviser Registration
  The second part of the application for investment advisers to register
• Form ADV - Part 2
  More of the registration application for investment advisers
• Form ADV-H Application for a Temporary or Continuing Hardship Exemption
  Application for a temporary or continuing hardship exemption
• Form ADV-W Notice of Withdrawal From Registration as an Investment Advisor
  Notice of withdrawal from registration as an investment advisor
• Form RA-89 Tenant's Complaint of Rent and/or Other Specific Overcharges in Rent Stabilized Apartments
  Form for tenants to file complaints about specific overcharges in rent stabilized apartments
• Forming a Not-for-Profit Corporation Sample Certificates
  Sample formats of certificates and relevant instructions for forming a not-for-profit corporation
• Forms and Instructions for Charities
  A page of links to forms and instructions for charities
• Forms and Instructions for Fundraising Professionals
  A page of links to forms and instructions for fundraising professionals
• Forms and Instructions for Transactions by Not-for-Profit and Religious Corporations
  
• Forms and Instructions for Trusts and Estates
  A page of links to forms and instructions for trusts and estates
• Franchise Forms
  Provides tips, legal sources, forms, and links for potential franchisees
• Freedom of Information (FOIL) Request Form - Online
  Freedom of information request form
• Freedom of Information (FOIL) Request Form - PDF
  Freedom of information request form
• Frequently Asked Questions
  Frequently asked questions about choosing a healthcare agent, how to do so, and how they function
• Fuel Price Guidelines
  A chart of projected prices of fuel oil acceptable in budgets for condo and co-op offering plans for budget years until the 2008-2009 fiscal year
• General Consumer Complaint
  A general complaint form with the contact information for the Bureau of Consumer Frauds and Protection at the top
• General Consumer Complaint (Spanish)
  A general complaint form with the contact information for the Bureau of Consumer Frauds and Protection at the top
• General Registration and Filing Instructions for Charities
  Summary of registration and filing requirements for charitable entities
• HAO - Homeowners Association Offering Plans (Questionnaire)
  A questionnaire for real estate professionals to ask of homeowners association offering plans
• Healthcare Proxy Form
  Instructions and information for filling out the healthcare proxy form
• Healthcare Proxy Form Instructions
  The form for appointing a healthcare proxy
• Investor Protection Complaint Form
  A general complaint form with the contact information for the Bureau of Investor Protection at the top
• Instructions For Registration Of Estates With A Charitable Interest
  Registration, submission, penalties, offices, and more
• Internet Guidelines for Real Estate Purchase/Sales
  Guidelines for offers to sell or to purchase real estate securities on the Internet
• Internet-Related Complaints PDF
  A complaint form for Internet-related complaints only
• Investment and Finance-Related Complaints
  A complaint form for complaints to do with investor protection and securities
• Leasehold Coop Questionnaire
  This questionnaire must be filled out for any offering plans purporting to convey a leasehold interest to the Apartment Corporation
• Lemon Law, Lease -- Excess Wear & Damage Request for Arbitration
  The application to participate in the NYS Excess Wear and Damage Arbitration Program
• Lemon Law, New Vehicle
  The application to participate in the NYS New Car Lemon Law Arbitration Program
• Lemon Law, Used Vehicle
  The application to participate in the NYS Used Car Lemon Law Arbitration Program
• 2009 New Car Guide & Request Form
  
• Used Car Guide & Request Form 11
  
• M-1 Broker-Dealer Statement
  Broker-dealer statement
• M-2 Salesperson Statement
  Salesperson statement
• M-2 Printable PDF
  Salesperson statement
• M-3 Supplemental Broker Dealer Statement
  The required supplement to N.Y. form BD, M-10, M-11
• M-3 Printable PDF
  The required supplement to N.Y. form BD, M-10, M-11
• M-4 Supplemental Salesperson Statement
  Supplemental salesperson statement
• M-4 Printable PDF
  Supplemental salesperson statement
• M-10 Broker Dealer Statement with Instructions
  Sponsors and selling agents broker dealer statement
• M-11 Issuer Statement §359-e
  Issuer statement, form M-11
• Wheelchair Arbitration Form
  The application to be considered for the NYS Wheelchair Lemon Law Program
• New Fee Schedule
  Schedule of fees for filings and registrations with the Real Estate Finance Bureau
• Notice of Appearance
  Notice of appearance of a third party, subject to the Freedom of Information Law
• NY-IAQ Investment Advisor Qualification
  Investment advisor qualification form
• Online Brokerage Service Complaint Form
  An online brokerage service complaint form
• Open Management Type Co. NF (replaces form M1A)
  Uniform investment company notice filing form, accompanied by instructions
• Other Forms
  Other charity-related forms
• P-1 Posting Notice
  Statement of number of apartments sold under plan, for use in New York City eviction plans only
• P-2 Posting Notice
  Statement of number of apartments sold under plan, for use in New York City non-eviction plans and upstate plans only
• P-3 Posting Notice
  Statement of number of apartments sold under plan, for use in GBL Section 352-eee non-eviction plans only
• P-4 Posting Notice
  Statement of number of apartments sold under plan, for use in GBL Section 352-eee eviction plans only
• PART 12 Security Takeover Disclosure Rules
  Security takeover disclosure information and form
• Part 13 Commodity Broker-Dealers, Salespersons and Investment Advisors
  Has definitions, registration information, and more about commodity broker-dealers, salespersons and investment advisors
• Part 50 Theatrical Financing
  Statutory information about theatrical syndication financing
• Part 51 Theatrical Accounting
  Statutory information about theatrical accounting
• Property Description
  Property description form, intended to expedite the engineering review process.
• Public Integrity Complaints
  Form to send complaints specifically to the Public Integrity Bureau
• Rent Security Deposit Complaint Form
  A rent security complaint form
• Rent Security Deposit Complaint Form (En Español)
  A rent security complaint form
• Ri-1 Registrant Information Form (Business Entity)
  Registrant information form
• RI-1 Printable PDF
  Registrant information form
• RS-2/CD-2 Amendment Filing Form
• RS-3 Abandonment of Offering
  Form for notifying the Attorney General of the State of New York of abandonment of offering
• Schedule E
  Request for registration exemption for charitable organizations
• Security Breach Reporting Form
  Pursuant to the Information Security Breach and Notification Act
• SD-1 Form
  Source of distribution statement
• SH-1 Senior Citizen Form
  Senior citizen election form, plus instructions.  For use in New York City only
• SH-2 Disabled Person Election Form
  Disabled person election form, plus instructions.  For use in New York City only
• SH-5 Senior Citizen Election Form
  Senior citizen election form, plus instructions.  For use in Nassau, Rockland, and Westchester Counties only
• STAT.COR - Statistical Record
  Statistical record sample form, for information purposes only
• State Notice
  State notice form for a dealer, broker, and/or syndicate manager; only one name is permitted per state notice
• Status Report of Intrastate Financing
  Form for status reports on intrastate financing
• TD-1A Original Ticket Distributor Registration
  Original Ticket Distributor Registration
• TD-2A Amended Ticket Distributor Registration
  Amended Ticket Distributor Registration
• Transmittal Sheet
  The transmittal sheet to send documents to the real estate bureau
• U-2 - Consent to Service of Process
  Form and relevant instructions for U-2 uniform consent to service of process
• Withdrawal of Offering New York
  Intrastate Withdrawal of Offering form

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