NY Form M-11 - New York Attorney General - oag state ny 2026

1. Click ‘Get Form’ to open it in the editor.
2. Begin by entering the File Number found on your fee receipt for original filing at the top of the form.
3. In the Issuer Statement section, provide the Issuer Name and Principal Office Address, including city, state, and zip code.
4. Indicate whether the issuer is an existing or proposed entity and select the type of organization (corporation, partnership, etc.).
5. Briefly describe the business of the issuer in the designated field.
6. Specify what type of securities will be offered (stock, bonds, etc.) and how they will be sold.
7. Fill in details regarding offering amounts and anticipated expenses. Attach any necessary literature as indicated.
8. Complete sections regarding any past legal issues or disciplinary actions related to registrants or partners.
9. List all employees involved in selling securities in New York State along with their CRD numbers.
10. Ensure all required signatures are provided at the end of the form before submitting it for filing.

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