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Applications and Filings

Licensing information, application forms, filing instructions, and other resources unique to each type of entity we supervise.
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INDUSTRY RESOURCES
Commonly Used Industry Resources

COMMON INDUSTRY FILINGS

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Transaction Monitoring Certification (3 NYCRR 504)

Regulated institutions must maintain programs to monitor and filter transactions for potential Bank Secrecy Act (BSA) and anti-money laundering (AML) violations, prevent transactions with sanctioned entities, and certify compliance with the regulation annually to DFS.

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Annual Statements and New York Supplements

In compliance with the 2025 New York Annual Statement and Supplement filing requirements, each of the submissions listed contains a complete set of general and specific instructions as well as blank forms and other related supplemental forms.

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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.

APPLICATION FEES
Annual Assessments

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

ANNUAL ASSESSMENTS