Registration and Application Forms with Index for the Investor Protection Bureau

1. Consumer Issues
   • Submit a FOIL Request  
   • Complaint
2. Registration
   • Broker Dealer (Forms BD, U4, and U5 submitted through CRD)
     • Registration Information Sheet
     • M-1
     • M-3
     • Form BD
     • Form U4 | Form U4 Instructions
     • Form U5 | Form U5 Instructions
   • Salesperson
     • M-2
     • M-3
     • M-4
   • Investment Adviser (All forms below submitted through ARD)
     • Form ADV-Part 1A
     • Form ADV-Part 1B
     • Form ADV (Part2AB)
     • Form ADV-Execution Page
   • Investment Adviser Temporary/Continuing Hardship Exemption
     • (Form ADV-H)
   • Investment Adviser Notice of Withdrawal From Registration
     • (Form ADV-W)
   • Investment Advisor Representative (Forms U4 and U5 submitted through CRD)
     • Form U4 | Form U4 Instructions
     • Form U5 | Form U5 Instructions
     • 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
   • Commodity Salesperson
     • CM-2
     • CM-3
     • CM-4
     • Part 13
   • Commodity Broker/Dealer
     • CBD
     • CM-3
     • Part 13
   • Commodity Inv. Advisor
     • CADV
     • CM-3
     • Part 13
   • Ticket Distributors
     • TD-1A
     • TD-2A
   • Commodities
     • CI-1
   • Securities
     • Uniform-Reg-A-Tier-2-Notice-Filing-Form
     • M-11
     • State Notice (Submitted to Department of State where required.)
     • Form D - Notice of Exempt Offering of Securities (Submitted through EFD system, efdnasaa.org)
   • Theatrical Financing
     • Part 50
     • Part 51
   • Open End Investment companies
   • Form NF
   • Unit Investment Trusts ("UITs")
   • Form NF (File form NF through EFD system)
3. Exemption Filing

   General:

   • Special Instruction Sheet (359-F)
   • Business Entity (RI-1)
4. Designation of Service of Process Agent

   General:

   • Uniform Instruction Sheet (Designation Process)
     • Form (U-2) (Submitted to the Department of State)
5. Security Takeover
   • Rules (Part 12)
6. Discontinuance of an Offering
   • General (ATS-2)
7. Notice of Appearance Form

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