Forms
General
Forms Required for Offering Plans
- Occupied Conversion Unit Combination Spreadsheet
- C-11/CD-11 Price Increase Form (58KB PDF)
- Effectiveness Amendment Questionnaire Spreadsheet
Excel spreadsheet for collection of necessary information for acceptance of the Effectiveness Amendment - E-1 - Sample Effectiveness Affidavit (21.6KB PDF)
- Reduced Filing Fee for Affordable housing Plans
- Fee Schedule: Effective November 3, 2017
- HAO - Homeowners Association Offering Plans (Questionnaire) (417KB PDF)
- Leasehold Coop. Questionnaire (8.22KB PDF)
- M-10 Broker Dealer Statement with Instructions
- M-2 Salesperson Statement (70.1KB PDF)
- M-3 Supplemental Broker Dealer Statement
- M-4 Supplemental Salesperson Statement
- Notice of Appearance (90KB PDF)
- P-1 Posting Notice (35.2KB PDF)
- P-2 Posting Notice (31.0KB PDF)
- P-3 Posting Notice (17.2KB PDF)
- P-4 Posting Notice (43.6KB PDF)
- RS-2/CD-2 - Amendment Filing Form (50.0KB PDF)
- RS-3 - Abandonment of Offering (12.1KB PDF)
- SH-1 Eligible Senior Citizen Election Form (54KB PDF)
- SH-2 Eligible Disabled Person Election Form (29KB PDF)
- SH-5 Eligible Senior Citizen Election Form (55 KB PDF)
- STAT.COR - Statistical Record (73.7KB PDF)
- State Notice (65.5KB PDF)
Revised Escrow Regulations
- Model Amendment Language
- Model Offering Plan Language
- Model Purchase Agreement Language
- Model Escrow Agreement for Escrow Compliance
- Memo Regarding FAQ for Escrow Regulations 2013
- Memo Regarding Changes to 13 NYCRR Parts 18-25: Regulations Concerning Escrowed Funds (12/6/2012)
- Supplemental Memo Regarding Compliance with Revised Escrow Trust Fund Regulations (12/20/2012)
Syndications
- AR-1 Annual Report Form
- RS-1 Registration Form
- Real Estate Policy Statements
- Designation (38.0KB PDF)
- Fee Schedule (19KB PDF) : Effective November 3, 2017
- RI-1 Registrant Information Form (8.4KB PDF)
- SD-1 Form (12.2KB PDF)
- State Notice (65.5KB PDF)
- Section 16.11 Non-Specified Property Regs (55KB PDF)
- FullFiling.352-e (78KB PDF)
- Form 99
TPT Ancillary Forms
- TPT Cooperative Information Package Template
- TPT Effectiveness Amendment
- TPT Model Post Closing Amendment
- TPT Non-Purchasing Tenant Affidavit
- TPT Purchasing Tenant Affidavit
Intrastate Offerings
- Intrastate 1: Filing of Intrastate Prospectus (13 KB PDF)
- Intrastate 2: Amendment to Prospectus (8 KB PDF)
- Intrastate 3: Withdrawal of Offering (8 KB PDF)
- Intrastate 4: Status Report of Intrastate Financing (10 KB PDF)
- Intrastate 5: Short Form of Prospectus (73 KB PDF)
- Intrastate 6: Annual Report (Intrastate) (9 KB PDF)