Regulatory Documents

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Bureau:
Real Estate Finance (REF)

Cooperative Policy Statement #7

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Bureau:
Investor Protection (IPB)

COVERSHEET TO ACCOMPANY INVESTMENT ADVISER FORMS

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Bureau:
Real Estate Finance (REF)

Designation of the Secretary of State

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Bureau:
Investor Protection (IPB)

Did Not Amend Registration

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Bureau:
Real Estate Finance (REF)

Digital Submission Requirements for Cooperative Interests in Realty (10/15/2019)

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Bureau:
Charities

Disclosure Requirements for Solicitation of Charitable Contributions Pursuant to New York State Executive Law § 174-b

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Bureau:
Real Estate Finance (REF)

E-1 - Sample Effectiveness Affidavit

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Bureau:
Real Estate Finance (REF)

E-Payment Guidelines

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Bureau:
Charities

Estate Registration Instructions

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Bureau:
Investor Protection (IPB)

Exemption Form For Franchisor To An Existing Franchisee Pursuant TO GBL § 684(3)(D)

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Bureau:
Charities

Extension Request Procedure Change: 180 Day Extension of Time to File is Granted

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Bureau:
Investor Protection (IPB)

Federal Covered Investment Company Dealers (formerly Open End Investment Companies) Heading > Form NF

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Bureau:
Real Estate Finance (REF)

Fee Schedule : Effective November 3, 2017

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Bureau:
Real Estate Finance (REF)

Filing Requirements With the Department of Law Pursuant to SEC Regulation A+, Effective on June 19,2015

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Bureau:
Real Estate Finance (REF)

Form 202.18 - Submission of Delayed Filing Fee Payment Pursuant To Executive Order 202.18

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Bureau:
Real Estate Finance (REF)

Form 202.18 – Submission of Delayed Filing Fee Payment Pursuant To Executive Order 202.18

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER & REPORT BY EXEMPT REPORTING ADVISERS

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 1B

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Bureau:
Investor Protection (IPB)

FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION PART 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements

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Bureau:
Investor Protection (IPB)

FORM ADV DOMESTIC INVESTMENT ADVISER EXECUTION PAGE

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Bureau:
Investor Protection (IPB)

Form ADV-H APPLICATION FOR A TEMPORARY OR CONTINUING HARDSHIP EXEMPTION

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Bureau:
Investor Protection (IPB)

Form ADV: General Instructions

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Bureau:
Investor Protection (IPB)

Form BD Uniform Application for Broker-Dealer Registration

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Bureau:
Investor Protection (IPB)

Form BDW Uniform Request for Broker-Dealer Withdrawal

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Bureau:
Investor Protection (IPB)

Form CADV COMMODITY INVESTMENT ADVISOR STATEMENT

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