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NY Form M-11 - New York Attorney General - oag state ny 2026
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- Click ‘Get Form’ to open it in the editor.
- Begin by entering the File Number found on your fee receipt for original filing at the top of the form.
- In the Issuer Statement section, provide the Issuer Name and Principal Office Address, including city, state, and zip code.
- Indicate whether the issuer is an existing or proposed entity and select the type of organization (corporation, partnership, etc.).
- Briefly describe the business of the issuer in the designated field.
- Specify what type of securities will be offered (stock, bonds, etc.) and how they will be sold.
- Fill in details regarding offering amounts and anticipated expenses. Attach any necessary literature as indicated.
- Complete sections regarding any past legal issues or disciplinary actions related to registrants or partners.
- List all employees involved in selling securities in New York State along with their CRD numbers.
- Ensure all required signatures are provided at the end of the form before submitting it for filing.
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