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 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
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 - 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 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