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) (Updated Feb 2021)
Commodity investment advisor statement - CBD Commodity Broker-Dealer Statement §359-e(14) (Updated Feb 2021)
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 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 (Updated Feb 2021)
Commodity info sheet - Civil Rights Complaint Form (English)
A discrimination complaint form - CM-2 Commodity Salesperson Statement (Updated Feb 2021)
Commodity salesperson statement, which must always be accompanied by the supplemental commodity statement - CM-3 Supplemental Commodity Statement (Updated Feb 2021)
Supplemental commodity statement - CM-4 Supplemental Commodity Salesperson Statement (Updated Feb 2021)
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 - 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
- Form ADV (To be submitted electronically through IARD)
- Instructions Form ADV Uniform Application For Investment Adviser Registration
File through IARD - Form ADV (Part1A)
- Form ADV (Part1B)
- Form ADV (Part 2AB)
- Form ADV Execution Pages
- Form ADV H - Application for a Temporary or Continuing Hardship Exemption
File through IARD - Form ADV-W - Notice Of Withdrawal From Registration As An Investment Adviser
File through IARD
- Instructions Form ADV Uniform Application For Investment Adviser Registration
- Form U4 | Form U4 Instructions
File through CRD unless as replacement form with forms M-1-M-11. - FormU5 | Form U5 Instructions
File through CRD unless as a replacement to Form M-4. - Form BD - Uniform Application for Broker-Dealer Registration
File through CRD unless as replacement for forms M-1-M-11 - Form BDW - Uniform Request for Broker-Dealer Withdrawal
File through CRD - Form D - Notice of Exempt Offering of Securities
File through EFD, efdnasaa.org - Form NF - Uniform Investment Company Notice Filing - NY Form NF
Filed through EFD for UITs, Blue Express or in paper/pdf form - 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 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
- Intrastate 2: Amendment to Prospectus
- Intrastate 3: Withdrawal of Offering
- Intrastate 4: Status Report of Intrastate Financing
- Intrastate 5: Short Form of Prospectus
- Intrastate 6: Annual Report (Intrastate)
- 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 - M-1 Broker-Dealer Statement for Non-FINRA Members
See 13 NYCRR 10.1(a)(6) - M-2 Salesperson Statement for Non-FINRA Members
See 13 NYCRR 10.1(a)(7) - 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 (IPB) Supplemental Broker-Dealer Statement for Non-FINRA Members
See NYCRR 10.3 - M-4 Supplemental Salesperson Statement
Supplemental salesperson statement for Real Estate Finance Bureau filings - M-4 (IPB) Supplemental Salesperson Statement for Non-FINRA membe personnel
Supplemental statement for Sales persons associates with Non-FINRA 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,
See 13 NYCRR 10.1(a)(2) - 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
Retired as of February 1, 2021 - NY-IASW - Special Waiver Qualification Under 13 NYCRR 11.7(b) for Investment Adviser Representatives of State
Registered Investment Advisers or Federally Covered Investment Advisers
Filed by email to NY-IASW through IASW@ag.ny.gov - 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 - Public Integrity Complaints
Form to send complaints specifically to the Public Integrity Bureau - Registration for Charities
- Rent Security Deposit Complaint Form
A rent security complaint form - RI-1 Printable PDF
Registrant information form - RS-2 - Offering Plan / 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 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 - Uniform-Reg-A-Tier-2-Notice-Filing-Form
Filed directly with the State
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 Bureau Complaint Form PDF
- Labor Bureau Complaint Form
- 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
- Unlawful Eviction Complaint Form