Numerical Index of Investment Protection Bureau Forms

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• Broker-Dealer & Securities Registration Information Sheet
• Complaint Form
• Filing a Designation for Service of Process -- Form U-2
• Freedom of Information Request
• Notice of Appearance Form
• Special Instruction for Exemption Filings
• State Notice
• Suggested Form of Verification

• Coversheet to Accompany Investment Adviser Forms
• Form ADV-Part 1A, Form ADV-Part 1B, Form ADV-Execution Page - Uniform Application for Investment Adviser Registration
• Form ADV-H - Application for a Temporary or Continuing Hardship Exemption
• Form ADV-W - Notice of Withdrawal From Registration as an Investment Adviser
• NY-IAQ - Investment Adviser Qualification

• Part 50 - Theatrical Financing
• Part 51 - Theatrical Accounting

• ATS-1 - Application for Exemption from Accounting Requirements
• ATS-2 - Discontinuance of Offering
• ATS-4 - Notification of Intent to Proceed By Means of Waivers
• ATS-6 - Producers Representation
• Part 52 - Ticket Distributors
• TD-1A - Ticket Distributor Registration
• TD-2A - Amended Ticket Distributor Registration

• Form RI-1 - Registrant Information Form
  • § 359-f(2) Exemption Instruction Sheet
• Part 13 - Commodity Broker-Dealers, Salespersons & Investment Advisors

• NY Form M-1 - Broker-Dealer Statement
• NY Form NF (replaces form M1A) - Open-End Management Type Companies
• NY Form M-2 - Salesperson Statement
• NY Form M-3 - Supplement to Forms M-1, M-11, M-10
• NY Form M-4 - Supplemental Salesperson Statement to M-2
• NY Form M-11 - Issuer Statement §359-e
• Form 99 - Notification Filing
• NY Form CADV - Commodity Investment Advisor Statement §359-e(14)
• NY Form CBD - Commodity Broker-Dealer Statement §359-e(14)
• NY Form CI-1 - Commodity Information Sheet
• NY Form CM-2 - Commodity Salesperson Statement
• NY Form CM-3 - Supplemental Commodity Statement
• NY Form CM-4 - Supplemental Commodity Salesperson Statement200. Franchise Offerings
• Part 12 - Security Takeover Disclosure Rules - Bus.Corp.Law art.16