Regulatory Documents

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Bureau:
Investor Protection (IPB)

Part 11 – IAR Registration Guidance

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Bureau:
Real Estate Finance (REF)

Policy Statement 100

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Bureau:
Real Estate Finance (REF)

Policy Statement 101

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Bureau:
Real Estate Finance (REF)

Policy Statement 102

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Bureau:
Real Estate Finance (REF)

Policy Statement 103

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Bureau:
Real Estate Finance (REF)

Policy Statement 104

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Bureau:
Real Estate Finance (REF)

Policy Statement 105

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Bureau:
Charities

Procedures for Forming and Changing a New York Not-For-Profit Corporation

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Bureau:
Charities

Professional Fund Raiser Registration Statement

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Bureau:
Charities

Professional Fund Raiser/Fundraising Counsel Contract Certification & Addendum to Contract With Charitable Organizations

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Bureau:
Charities

Professional Fundraising Interim/Closing Statement

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Bureau:
Charities

Professional Solicitor Registration Statement

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Bureau:
Real Estate Finance (REF)

Real Estate Syndication Offerings That Include Rights to Acquire Condominium Units (June 19, 2013)

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Bureau:
Real Estate Finance (REF)

Reduced Filing Fee for Affordable housing Plans

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Bureau:
Real Estate Finance (REF)

REF Issues Reminder to All Broker-Dealers Regarding Broker-Dealer Registration Requirements Outlined in July 10, 2014 Guidance Document (1/9/2017)

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Bureau:
Real Estate Finance (REF)

REF publishes guidance document with HPD and DHCR for HDFC coops seeking to transfer or sell their property for market-rate purposes - Spanish-translated version of this guidance document (7/16/2015)

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Bureau:
Real Estate Finance (REF)

REF publishes guidance document with HPD and DHCR for HDFC coops seeking to transfer or sell their property for market-rate purposes. (7/16/2015)

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Bureau:
Real Estate Finance (REF)

REF Strongly Suggests All Submitters Sign Up for REF Updates to Keep Up With Revised Submission Requirements (12/17/2015)

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Bureau:
Real Estate Finance (REF)

REF Updates Guidance Document Entitled "Temporary Submission and Review Policies and Procedures Due to COVID-19 State of Emergency" (6/28/2021)

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Bureau:
Real Estate Finance (REF)

REF Updates its Form RS-3, Notification to the Attorney General of the State of New York of Abandonment of Offering (2/13/2018)

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Bureau:
Real Estate Finance (REF)

REF Updates Notice of Appearance Form (8/15/2017) Notice of appearance of a third party, subject to the Freedom of Information Law

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Bureau:
Charities

Registration Statutes

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Bureau:
Charities

Regulations for Charities, Trusts, Estates and Fundraising Professionals

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Bureau:
Charities

Religious Corporations: Sales and Other Disposition of Assets

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Bureau:
Investor Protection (IPB)

Rev. Form U4 (05/2009) UNIFORM APPLICATION FOR SECURITIES INDUSTRY REGISTRATION OR TRANSFER

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