Regulatory Documents

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Bureau:
Investor Protection (IPB)

13 NYCRR 10 Unofficial Dealers, Brokers, Salespersons(Effective December 2, 2020)

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Bureau:
Investor Protection (IPB)

13 NYCRR 11 Unofficial IAs, FCIAs, IARs(Effective February 1, 2021)

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 18.3

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 20.3

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 21.3

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 22.3

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 23.3

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 24.3

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Bureau:
Real Estate Finance (REF)

13 NYCRR § 25.3

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Bureau:
Investor Protection (IPB)

2008 NASAA Franchise Registration And Disclosure Guidelines Commentary

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Bureau:
Charities

A Guide to Sales and Other Disposition of Assets by Not-For-Profit Corporations

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Bureau:
Charities

A Practical Guide to the New York Prudent Management of Institutional Funds Act

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Bureau:
Real Estate Finance (REF)

Abbreviated Outline of Temporary E-Submission Policy

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Bureau:
Investor Protection (IPB)

Adopted Revisions to 13 NYCRR 10(Effective December 2, 2020)

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Bureau:
Investor Protection (IPB)

Adopted Revisions to 13 NYCRR 11(Effective February 1, 2021)

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Bureau:
Charities

Annual Bond (For Professional Fund Raisers)

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Bureau:
Charities

Appraisals of Property for Not-for-Profit and Religious Corporations Seeking Approval of Property Transactions by the Attorney General or the Court

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Bureau:
Real Estate Finance (REF)

AR-1 Annual Report Form

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Bureau:
Investor Protection (IPB)

Assessment of Comment to Part 10

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Bureau:
Investor Protection (IPB)

Assessment of Comment to Part 11

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Bureau:
Investor Protection (IPB)

ATS-2 DISCONTINUANCE OF OFFERING

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Bureau:
Charities

Audit Committee Requirements and Responsibilities Under New York's Not-For-Profit Corporation Law As Amended Through 2017

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Bureau:
Charities

Before You Hire a Fundraiser

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Bureau:
Investor Protection (IPB)

Business Entity (RI-1)

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Bureau:
Real Estate Finance (REF)

C-11/CD-11 Price Increase Form

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