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Applications and Filings

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INDUSTRY RESOURCES
Commonly Used Industry Resources
Featured
Industry Filings
Cybersecurity Filings

23 NYCRR Part 500 establishes cybersecurity requirements for financial services companies. All entities and persons regulated or licensed by the Department are required to file various cybersecurity notices to the Superintendent.

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Transaction Monitoring Certification (504)

Regulated institutions must maintain programs to monitor and filter transactions for potential BSA/AML violations, prevent transactions with sanctioned entities, and certify compliance with the regulation to DFS annually by April 15 of each year.

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Find What You Need By Business Type
Licensing Applications, Forms, and Filings

The Department of Financial Services supervises many different types of institutions and individuals. Supervision may entail chartering, licensing, examination, requiring a registration or filing, etc. Use the links below to find applications, licensing information, forms, filing instructions, and other resources unique to each type of entity we supervise.

Other Entities We Supervise
DFS also registers, certifies, approves, permits, and authorizes certain entities

To find out if a particular entity is chartered, licensed or otherwise supervised by the Department, visit our Who We Supervise page. The following links can help you find out more about how we supervise each type of entity.
Industry
Fees & Assessments
Application Fees

Refer to the Department's Application Fee Schedule to determine the fee for an application being filed with the Department.

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Annual Assessments

Entities regulated under the Banking and Insurance Laws are assessed by the superintendent for the operating expenses of the Department. 

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