All forms are available on the Department of Law’s website at https://ag.ny.gov/forms.

(a) Form ADV.

Uniform Application for Investment Adviser Registration, parts 1 and 2.

(b) Form ADV-H.

Application for Temporary or Continuing Hardship Exemption.

(c) Form ADV-W.

Notice of Withdrawal From Registration as Investment Adviser.

(d) Form NY-IAQ.

New York Investment Adviser Qualification. (Retired).

(e) Form U4.

Uniform Application f or Securities Industry Registration or Transfer.

(f) Form U5.

Uniform Termination Notice for Securities Industry Registration.

(g) Form NY-IASW.

New York Special Waiver Qualification Under section 11.7(b) of this Part.