OFFICE OF THE ATTORNEY GENERAL

LETITIA JAMES

FRANCHISE REGISTRATION INFORMATION SHEET

Disclosure documents using the UFOC format may not be distributed to prospective franchisees after

July 1, 2008. As of July 1, 2008, franchisors must use the amended FTC Franchise Rule disclosure document

format, 16 CFR 436, as amended, 72 FR 15444 (March 30, 2007). Pursuant to the amended FTC Franchise

How To Appy for a Hardship Exemption:

If you wish to apply for a hardship exemption from submitting franchise filings via FRED, submit a

letter indicating why it is necessary and an explanation of any unreasonable burden and expense. This office

will then determine whether your request will be granted based on an analysis of filer burden or expense and

whether an exemption is appropriate and consistent with the public interest. Even if granted, we may place a

limit on the term of a continuing hardship exemption.

The hardship application must be submitted by the franchisor only and may not be submitted by third

parties such as attorneys or franchise consultant firms. The request must be submitted in writing; signed by the

The Department of Law (the “Department”) shall, not later than 30 days after the submission for filing

of an initial franchise registration application, issue a letter stating that the application has been accepted for

filing, or in the alternative indicate the respect in which the application for registration is deficient or otherwise

fails to make adequate disclosure. N.Y. Comp. Codes R. & Regs. tit. 13 § 200.3 (i) (1) (1980). If the franchisor

resubmits its application, the Department shall, not later than 30 days following the re-submission, issue a letter

accepting the filing or issue a deficiency letter. N.Y. Comp. Codes R. & Regs. tit. 13 § 200.3 (i) (1) (1980).

A. Items to Submit

the $750 filing fee may be paid in one of the two following ways: i) mailing in a check drawn on a

United States Bank and made payable to “The New York State Department of Law”; or ii) paying

electronically by using IPB E-Pay. Link to IPB ePayment User Guide:

https://ag.ny.gov/sites/default/files/ipb_epayment_user_guide.pdf If paying by IPB E-Pay, submit a

copy of the receipt of payment with the franchise filing.

2. Uniform Franchise Registration Application with Certification form

6. Guarantee of Performance form--This form should be completed only when the financial

statements included are pursuant to Item 21 (B) of New York’s Franchise Regulations, i.e.,

when the franchisor includes financial statements of its affiliated company, and the affiliated

company absolutely and unconditionally guarantees to assume the duties and obligations of

the franchisor under the franchise agreement.

of the franchisor’s fiscal year-end. N.Y. Comp. Codes R. & Regs. tit. 13 § 200.8 (1980). If a

or sell interests in franchises or advertise during the time that the Department is acting upon its

application unless otherwise advised by the Department. N.Y. Comp. Codes R. & Regs. tit. 13 §

200.3 (i) (2) (1980).

200.5(b) (1980)) to the franchise offering circular is required to be submitted “promptly.” N.Y.

Gen. Bus. Law § 683.9. The Department shall, not later than 15 days after the submission of an

amendment or renewal of an offering prospectus, issue a letter stating that the amendment or

renewal has been accepted for filing, or in the alternative indicate the respect in which the

amendment or renewal application is deficient or otherwise fails to make adequate disclosure.

A. Items to Submit

5. For annual renewals only (not amendment filings), submit the information required

under 13 NYCRR 200.8, which is as follows: (a) The name and address of each

franchise sold, the date of the sale, and the name, address, and telephone number of

the person purchasing the franchise; (b) The price paid and credit terms upon the sale

of each franchise listed in subdivision (a) of this section; and (c) A copy of the

annual audited financial statements of the franchisor as prepared by an independent

public accountant.

Submit two copies of any advertising to be used in the offer or sale of franchises. 13

NYCRR 200.9. Sales literature shall be submitted to the Department not less than seven days

prior to its intended use. Advertisements are to be submitted via the NASAA Franchise

Electronic Filing Depository (“FRED”) at https://www.efdnasaa.org

IV. FRANCHISE BROKER REGISTRATION:

following address: