Investments, Registration & Regulation
Regulatory documents library
To view our forms and related documents, visit our documents library and utilize the filter to find the item related to your query.
ePayments and guidance
For instructions on how to use the ePayment application, download the ePayment User Guide.
Resources
Investor Protection Bureau
The Office of the New York State Attorney General protects investors, businesses, shareholders, and consumers. We also regulate brokers, investment advisors, and commodities professionals to make sure they are following the law. If we find that a business or professional is violating the law, we get remedies for investors and businesses, including monetary compensation.