Regulatory Documents

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Bureau:
Investor Protection (IPB)

Form D - Notice of Exempt Offering of Securities (Submitted through EFD system, efdnasaa.org)

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Bureau:
Investor Protection (IPB)

Form 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

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Bureau:
Investor Protection (IPB)

Form TD-1A ORIGINAL TICKET DISTRIBUTOR REGISTRATION

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Bureau:
Investor Protection (IPB)

Form TD-2A AMENDED TICKET DISTRIBUTOR REGISTRATION

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Bureau:
Investor Protection (IPB)

Form U4 Uniform Application for Securities Industry Registration or Transfer

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Bureau:
Investor Protection (IPB)

Form U5 Uniform Termination Notice for Securities Industry Registration

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Bureau:
Investor Protection (IPB)

Formal Opinion No. 93-F4, Franchises relating to both the retail sale of motor fuel and the operation of a convenience store

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Bureau:
Investor Protection (IPB)

Franchise Broker Registration Form

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Bureau:
Investor Protection (IPB)

Franchise Registration Information Sheet

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Bureau:
Investor Protection (IPB)

Franchise Seller Disclosure Form

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Bureau:
Investor Protection (IPB)

Franchisor's Costs and Source of Funds

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Bureau:
Real Estate Finance (REF)

frequently_asked_questions_regarding_digital_submission_requirements_2-4-2016.pdf

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Bureau:
Investor Protection (IPB)

Full Text of Proposed Changes to 13 NYCRR 10

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Bureau:
Investor Protection (IPB)

Full Text of Proposed Changes to 13 NYCRR 11

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Bureau:
Real Estate Finance (REF)

FullFiling.352-e

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Bureau:
Charities

Fundraising Counsel Registration Statement

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Bureau:
Investor Protection (IPB)

Gen. Bus. Law § 684.3(c) Isolated Sale Exemption Cases - BMW Co. Inc. et al. v. Workbench Inc. et al.

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Bureau:
Investor Protection (IPB)

Guarantee of Performance

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Bureau:
Charities

Guidance for Charitable Nonprofit Organizations Facing the Challenges of the COVID-19 Pandemic, April 2020

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Bureau:
Real Estate Finance (REF)

Homeowners Association Offering Plan Questionnaire

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Bureau:
Charities

How to Convert a File to PDF

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Bureau:
Charities

Informal Accounting for Charitable Estates and Trusts

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Bureau:
Real Estate Finance (REF)

Instruction Sheet for Real Estate Syndication Full Filing Under GBL § 352-e

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Bureau:
Investor Protection (IPB)

Instructions for Form ADV-W NOTICE OF WITHDRAWAL FROM REGISTRATION AS AN INVESTMENT ADVISER

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Bureau:
Charities

Instructions for Form CHAR500-C Combined Annual Financial Report

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