Forms
- § 359-f(2) Exemption Instruction Sheet Printable PDF
Exemption instruction sheet - 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 (2017)
Annual Filing for Charitable Lead Trusts for 2017 - CHAR 004 (2016)
Annual Filing for Charitable Lead Trusts for 2016 - 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 (2017)
Annual Report of Charitable Organizations for Annual Filing Year Beginning in 2017 - CHAR 500 (2016)
Annual Report of Charitable Organizations for Annual Filing Year Beginning in 2016 - 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
180 Day Extension of Time to File is Granted - 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 (En Español) / 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 En Español / 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 - Contractor Tip Card
Home Improvement Contractor Tip Card - 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 (En Español)
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 - 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 - 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-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 - 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 Form (English)
A general complaint form in English with the contact information for the Bureau of Consumer Frauds and Protection at the top - General Consumer Complaint (En Español)
A general complaint in En Español 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 - Intrastate 1: Filing of Intrastate Prospectus (13 KB PDF)
- Intrastate 2: Amendment to Prospectus (8 KB PDF)
- Intrastate 3: Withdrawal of Offering (8 KB PDF)
- Intrastate 4: Status Report of Intrastate Financing (10 KB PDF)
- Intrastate 5: Short Form of Prospectus (73 KB PDF)
- Intrastate 6: Annual Report (Intrastate) (9 KB PDF)
- 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 - 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 - New Car Lemon Law Arbitration Form | NY's New Car Lemon Law Guide
The application to participate in the NYS New Car Lemon Law Arbitration Program - Used Car Lemon Law Arbitration Form | NY's Used Car Lemon Law Guide
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 for Real Estate Finance Bureau
The required Supplemental Broker Dealer Statement for form M-10 submitted to the Real Estate Finance Bureau - M-3 Supplement for Investment Protection Bureau
The required supplement to N.Y. form BD, M-10, M-11 - M-4 Supplemental Salesperson Statement
Supplemental salesperson statement for Real Estate Finance Bureau filings - M-4 Printable PDF
Supplemental salesperson statement for NASD member firms for Investor Protection Bureau filings - 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 Adviser Qualification
Investment adviser 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 - Public Integrity Complaints
Form to send complaints specifically to the Public Integrity Bureau - Rent Security Deposit Complaint Form
A rent security complaint 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 - 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 - 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
Complaint Forms
- Antitrust Bureau Complaint Form PDF
- Bureau of Internet and Technology (BIT) Complaint Form Online
- Charities Bureau Complaint Form PDF
- Consumer Frauds Bureau Complaint Forms (General - Including Regional Office Forms)
- Consumer Frauds and Protection Bureau Tenant/Landlord: Rent Security Complaint Forms
- Criminal Enforcement and Financial Crimes Bureau Complaint Form PDF
- Environmental Protection Bureau Complaint Form PDF
- Fast Food Worker Complaint Form PDF
Formulario de queja del trabajador de comida rápida [Español] - Health Care Bureau Complaint Form
- Internet-Related Online Complaint Forms:
- Investor Protection & Securities Bureau Complaint Form PDF
- Labor Bureau Complaint Forms English PDF
Formulario De Queja Oficina De Labor [Español] - Lemon Law, Request For Arbitration Forms
- Medicaid Fraud Control Unit Comments Online Form
- Public Integrity Bureau Complaint Form
- Real Estate Finance Bureau Complaint Form
- Rent Security Complaint Form
- Taxpayer Protection Bureau Complaint Form PDF
- Tenant Harassment Prevention Task Force Complaint Form - Online
Tenant Harassment Prevention Task Force Complaint Form PDF