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Effective REF Policy Memoranda

Please note: Any memoranda not included on this page when unfiltered can be presumed to be repealed and ineffective.

This page provides two search options. You can search the full text of all memoranda by entering text into the “Search Full Text of Memoranda” search bar and clicking “Search.” You can also search by clicking the “Filter Memoranda” link and checking a subject matter, plan type, or construction type checkbox. Results will be limited by category as soon as a checkbox is checked; each additional box checked will further limit the results. These two search options can be used independently of, or in conjunction with, each other. For example, if you use the “Search Full Text of Memoranda” option and then filter the results by checking a subject matter, plan type, or construction type checkbox, your results will be further limited.

When no searches are conducted, all memoranda are listed in alphabetical order.

Search Full Text of Memoranda

Filter Memoranda By Subject Matter or Applicability to a Specific Plan Type and/or Construction Type

REF Subject

Affordable Housing

Cooperative Policy Statement Applications

COVID-19 State of Emergency

Certified Financial Statements

Digital Submissions

Effectiveness Amendments

E-Payment

Escrow Deposits

Exemption Applications

FOIL

HDFC Cooperatives

No-Action Letter Applications

Offering Plan and/or Amendment Disclosures

Out-of-State Offerings

Registration Requirements for Broker-Dealers

Submission Procedures/ Requirements

Syndications

Tax and Finance

Tenant Protections

REF Plan Type

Condominiums

Cooperatives

Homeowners Associations

Senior Residential Communities

Timeshares

REF Construction Type

Newly Constructed/ Vacant

Occupied Conversions

A

Affordable Housing Plan Disclosures (01/05/2012)
Air and Development Rights (03/10/1988)
Allocation of Shares to Professional Apartments (05/15/1990)
Application of L. 1984 chapter 234 to Eviction Plans: Eviction of disabled, elderly or long-term tenants on grounds of an owner’s personal use (03/07/1985)
Auction Amendments (03/25/1992)
Auctions (10/25/1989)
Amendment Submissions and Broker-Dealer Registration Requirements Pursuant to New York General Business Law § 359-e (12/07/2017)

B

Buy-Back Provisions in Offering Plans (10/09/1985)

C

Certificates of Occupancy and Part 20 Offering Plans (10/13/2015)
Certification by Holder of Unsold Shares (09/19/2014)
Change in Sponsors’ Financial Condition (02/06/1990)
Changes in Subscription or Purchase Agreements after Execution (02/25/1986)
Commercial/Professional Use of Residential Units (10/27/1987)
Compliance with the Revised Regulations Concerning Protections for Eligible Senior and Disabled Tenants During Condominium or Cooperative Conversions (08/31/2016)
Condominium and Cooperative Abuse Relief Act of 1980, 15 USC 3601 et. seq. (01/15/1985)
Cooperatives & Condominiums Seeking Investors Among Shareholders or Unit Owners (04/15/1992)
Certified Financial Statements (01/17/1986)
Chapter 526 of the Laws of 1994 Limited Liability Company Law ("LLC") Chapter 34 of the Consolidated Laws (12/07/1994)
Clarification of Procedure for Changes to Sponsor Entities and/or Principal(s) Thereof in Cooperative Interests in Realty with CPS-5 Exemption (05/09/2017)
Changes to 13 NYCRR Parts 18-25: Regulations Concerning Escrowed Funds (12/06/2012)

D

Delay in First Closing in Newly-Constructed Condominiums and Rescission (05/18/2012)
Determination of the Absence of Excessive Long-Term Vacancies Pursuant to GBL § 352-eee(2)(3) and 352-eeee(2)(e) (09/25/2013)
Disclosure for Hurricane Sandy (05/21/2013)
Disclosure of Negotiable Terms of Purchase Price (04/06/1990)
Disclosure Requirements for Occupied Conversions Regarding Tenant Protections from Eviction and Unconscionable Rent Increases (06/19/2013)
Disclosure Requirements Regarding Condominium Exemption from ILSA (04/10/2015)
Disclosures Concerning Arbitration Provisions (03/22/2013)
Do or Die Amendments (01/22/1986)
Disclosure Requirements Regarding The Tax Cuts and Jobs Act of 2017 (01/09/2018)
Disclosure Requirements Regarding Changes to Amendment Exhibits (08/06/2018)
Disclosure Requirements Regarding FinCEN's Geographic Targeting Order (12/04/2018)
Disclosure Requirements for Offering Plans Involving Robert M. Scarano, Jr., RA (12/19/2011)
Disclosure Requirements Regarding Building Smoking Policies Prusuant to Local Law 147 (08/15/2018)
Disclosure Requirements Regarding New York State's Additional Transfer Tax and New Supplemental Tax (06/28/2019)
Digital Submission Requirements for Cooperative Interests in Realty (10/15/2019)
Disclosure Requirements Regarding Projected Real Estate Taxes After The First Year of Operations (01/24/2020)

E

Effectiveness Affidavits For Part 20 Plans (02/02/2015)
Effectiveness Notices (01/10/1986)
Effects of the Expiration of Emergency Regulations Concerning Protections for Senior and Disabled Tenants During Condominium or Cooperative Conversions (02/08/2016)
Estates of Tenants -- Right to Buy and Sponsor’s Ability to Count Toward Effectiveness (01/14/1988)
Exemption for Partial Building Sales In Residential Rental Buildings (10/10/2014)

F

FAQ Regarding New Escrow Regulations (01/15/2013)
Filing Requirements With the Department of Law Pursuant to SEC Regulation A+, Effective on June 19, 2015 (07/06/2015)
Freedom of Information Law (04/28/1994)
Funding Reserve Fund Pursuant to Local Law 70 (06/17/1996)
Foreign Investment in Real Property Tax Act (“FIRPTA”) (06/04/1985)
Form of Certification for Audited Financial Statements (05/15/1990)
Franchise Taxes (06/08/1992)
Frequently Asked Questions Regarding Digital Submission Requirements (02/04/2016)

G

Guidance on Compliance With the NYC Reserve Fund Law (05/04/2015)
Guidance on Exemption Application for Conversions Pursuant to the Third Party Transfer Program (06/03/2014)
Guidance on Housing Development Fund Corporations Seeking to Transfer Or Sell Property for, or Otherwise Convert Property to Market-Rate Use (07/16/2015)
Guidelines for Advertising Out-of-State Real Estate Securities Offerings on An Internet Web Site or App (08/05/2015)
Guidance on Housing Development Fund Corporations Seeking to Transfer Or Sell Property for, or Otherwise Convert Property to Market-Rate Use (En Español) (07/16/2015)
Guidelines for Amendment Submission (10/15/2019)
Guidelines for the Submission of Electronic Payments of Filing Fees During COVID-19 State of Emergency (06/28/2021)

H

Housing Merchant Implied Warranty (01/31/1989)

I

Information for Submitters of Descriptions of Property Part 20 (10/14/2015)
Information for Submitters of Descriptions of Property Part 23 (10/14/2015)
Interim Leases in ETPA Jurisdiction (07/25/1983)
Interim Lessees (06/04/1985)
IRC Section 277 (12/21/1983)
Instructions for Troubleshooting Commonly Encountered E-Payment Portal Issues (09/18/2020)

L

Leasehold Cooperative Plans (03/13/1986)
Letters of No Objection to Termination of Condominium Declaration (01/22/2015)
Limited Offers (08/30/1989)
Local Law 8-1989 (12/06/1989)
Loft Law (11/21/1990)

M

Major Capital Improvements & Reserve Fund (12/21/1983)
Martin Act Disclosure Requirements When an Attorney Is Indicted, Sued Civilly or Under Investigation by the New York Attorney General (12/12/2013)
Mixed Use Buildings Expanded No-Action Treatment (01/29/2009)

N

N.Y. Real Prop. Law § 339-i and 13 NYCRR Part 20 (05/14/2014)
New Sponsors (08/07/1991)
New York City Bar Association Formal Opinion 1990-1 (03/02/1990)
No-Action Letter Requests for Projects That Include an Affordable Housing Component or Involve the New York City Department of Housing Preservation and Development (01/26/2016)
NY GBL Amendment on Self-Dealing Contracts (10/01/2010)
NYC "Pan Am" Local Law Amendment to Administrative Code Section II 46.1.0 et seq (authorized by Ch. 915 of the Laws of 1981) (07/18/1986)
N.Y. Real Prop. Tax Law § 421-a (07/10/2015)

O

Occupied Buildings and Part 20 Offerings (07/10/2015)
One Managing Agent (07/01/1994)
Outside Purchasers and Tenants’ Right to Purchase (09/17/1986)
Offering Plan Initial Submission Checklist for Digital Submissions (10/15/2019)
Outline of the Real Estate Finance Bureau's Temporary Paperless Electronic Submission Policies and Procedures (06/28/2021)

P

Parking/Garage Spaces (07/10/1989)
Passport Numbers or ITIN in Lieu of Social Security Numbers for Foreign Principals (01/22/2014)
Procedure for Submitting a Price Change Only Amendment for Consideration Prior to Acceptance of a Pending Substantive Amendment (10/15/2019)

R

Real Estate Syndication Offerings That Include Rights to Acquire Condominium Units (06/19/2013)
Reduced Filing Fees for Affordable Housing Plans (10/27/2009)
Repeal of Cooperative Policy Statement #9 (02/04/2016)
Repeal of November 16, 2015 Memo Concerning Disclaimers of Liability In Offering Plans (04/08/2016)
Requests Made Under the New York Freedom of Information Law for Access to Documents that Have Been Accepted for Submission, but Not Yet Accepted for Filing (REPEALED) (07/02/2015)
Required Disclosure for Occupied Conversion Plans Involving Renovations, Combinations, and Expansions (08/19/2015)
Requirement for Certified Financial Statements in Extension Amendments (07/21/1989)
Requirements for Effectiveness Amendments in Occupied Conversion Plans under GBL § 352-eeee (04/13/2015)
Requirements for Exemption Application For Conversions of PHFL Article II Cooperatives to PHFL Article XI Cooperatives (06/20/2013)
RPL § 334(a)(1) / Nassau County (01/11/1988)
Real Estate Tax Disclosure (08/30/1989)
Real Estate Tax Benefits and High Rent Deregulation Date: April 2010 with Attached Disclosure Guidelines (04/01/2010)

S

Sale of Hallway or Other Additional Space By Coops or Condos (03/26/2012)
Small Residential Building No-Action Letters (01/08/2016)
Special Allocations of Common Expenses Pursuant to N.Y. Real Prop. Law § 339-m (10/25/2011)
Sponsor Disclosure Concerning No-buy Pledges (07/23/1985)
Status of Sales (05/21/1993)
Submission of Building Plans In Electronic Format in Lieu of Paper (12/03/2014)
Submission of Price Change Amendments (02/04/2016)
Supplemental Memo Regarding Compliance with Revised Escrow Trust Fund Regulations (12/20/2012)
Standards for Submission of Certified Public Copies of Offering Plans and Amendments (10/15/2019)
Submitting Amended and Restated Offering Plans when the Offering Plan and All Previously Filed Amendments Are Unavailable (10/15/2019)

T

Tenant Buyouts (07/09/2015)
Tax Opinion Disclosures (05/20/1983)
Temporary Electronic Submission Policies and Procedures for Initial Submissions During COVID-19 State of Emergency (06/28/2021)
Temporary Submission and Review Policies and Procedures Due to COVID-19 State of Emergency (06/28/2021)

U

Undisclosed Sponsors (12/03/1982)

V

Vacant Apartments (09/12/1989)

W

Who Can Sign as Escrow Agent Under 352-e(2-b) and as Counsel for Income Tax Opinion Under 13 NYCRR 18.3(k) (03/01/1995)
Withholding Condominium Units From The Initial Offer (12/20/2018)

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