Energy Broker and Energy Consultant Registration

About the Order

Public Service Law §66-t requires energy brokers and energy consultants to register with the New York State Public Service Commission. The Commission directed implementation of these provisions in Case 23-M-0106.

The new rules establish a registration process for energy brokers and energy consultants that requires an annual registration package consisting of a registration form, a $500 registration fee, and a demonstration of financial accountability. In addition, the new rules require disclosure of compensation by brokers and establish enforcement procedures. 

A broker or consultant would be subject to an enforcement action for a violation of any law, rule, or regulation.

How to File your Registration Package

Registration Steps

The energy broker and energy consultant registration requires the following steps:

  • File the registration form with a separate cover letter (addressed to Hon. Michelle L. Phillips, Secretary to the Commission, New York State Public Service Commission, Agency Building 3, Albany, NY 12223-1350) and required documents electronically, as detailed in the application, into Matter 23-01227.
  • Please be sure to check your email junk/spam folders for any correspondence after you upload your documents into the matter.
  • Provide a surety bond or letter of credit in the amount of $100,000 for energy brokers and $50,000 for energy consultants. Mail to the Department of Public Service Finance and Budget Section address provided below.
  • Mail a non-refundable $500 check (and annually on 8/31 thereafter) made payable to the Department of Public Service. Include the name of the company or individual that is registering with the Department on the memo line of your check. Also include your contact information (Company Name, Contact Name, Address and Phone Number) with your check so the Department may contact you if there is an issue. Mail to:

    Department of Public Service
    Attn: Finance and Budget Section
    New York State Department of Public Service
    3 Empire State Plaza, 16th Floor
    Albany, NY 12223-1350


If you have questions about the registration process or new requirements for energy brokers and energy consultants, please email:  [email protected].

E-File Your Registration

For directions on how to e-file your registration package with the Secretary or Records Access Officer (RAO), visit Filing Documents with the Secretary. Please also see the DMM e-Filing Manual.

Call or email with your questions about e-filing: 518-474-3204, [email protected].

Email or Mail Your Registration

If you are not a registered E-Filer and want to email or mail your registration package hardcopy please follow these directions: 

  • A filing letter addressed to the Secretary and a redacted copy of the document should be sent to the Secretary.
    • Contacting the Secretary
      Hon. Michelle L. Phillips
      Secretary to the Commission
      New York State Public Service Commission
      Agency Building 3
      Albany, NY 12223-1350
      Phone: 518-474-2500
      Fax: 518-474-9842
      E-mail: [email protected]
  • A filing letter addressed to the RAO which sets forth the basis for the request for confidentiality, and a copy of the confidential document should be sent to the RAO.
    • Contacting the RAO
      Records Access Officer
      New York State Department of Public Service
      Agency Building 3
      Albany, NY 12223-1350
      Email: [email protected]
  • Confidential documents should be filed with the RAO, and not sent to DPS staff or the Secretary’s Office.

Annual Compliance Due August 31st

Annual Compliance Should Not Be Submitted Any Sooner Than 60 Days Prior to the 8/31 Due Date.

Uniform Business Practices Section 11.D.1, Maintaining and Updating Registration, requires an energy broker and/or energy consultant by August 31st each year to provide:

  1. Either a statement (attestation) that the information and attachments in its Registration Form and registration package are current; or a description of revisions to the Registration Form and registration package and a copy of the revised portions or, at the Energy Broker or Energy Consultant’s option, a copy of the revised portions identifying the revisions by highlighting or other means and;
  2. An Officer Certification document; and,
  3. The annual registration fee.


All filings should be submitted to Matter 25-00092. Please also include a separate cover letter addressed to the Secretary with your documents:

Hon. Michelle L. Phillips
Secretary to the Commission
New York State Public Service Commission
Agency Building 3
Albany, NY 12223-1350

Additional directions on how to e-file your annual compliance filing can be Filing Guidelines.

Instructions for Mailing Annual Registration Fee

Mail a non-refundable $500 check made payable to the Department of Public Service. Include the name of the company or individual that is registering with the Department on the memo line of your check. Also include your contact information (Company Name, Contact Name, Address and Phone Number) with your check so the Department may contact you if there is an issue. Mail to:

Department of Public Service
Attn: Finance and Budget Section
New York State Department of Public Service
3 Empire State Plaza, 16th Floor
Albany, NY 12223-1350

Energy Broker and/or Consultant Annual Compliance Letters will be generated and uploaded to Matter 25-00092 after 8/31/2025 and will be available for download for your records at that time.

Surety Bond and Letter of Credit Requirements

Energy brokers and energy consultants are required to provide a demonstration of financial accountability through either a surety bond or a standby letter of credit that meets the requirements set forth in Section 11.B.1.J of the Uniform Business Practices. Any energy broker or energy consultant that chooses to use a surety bond to demonstrate financial accountability must use the surety bond template provided below.

Energy Broker and Consultant Definitions

Energy Broker

Energy Broker is defined within the UBP as “A non-utility entity that performs energy management or procurement functions on behalf of customers or ESCOs, and (1) that assumes the contractual and legal responsibility for the sale of electric supply service, transmission or other services to end-use retail customers, but does not take title to any of the electricity sold, and does not make retail energy sales to customers, or (2) that assumes the contractual and legal obligation to provide for the sale of natural gas supply service, transportation or other services to end-use retail customers, but does not take title to any of the natural gas sold, and does not make retail energy sales to customers.”

Energy Consultant

Energy Consultant is defined with in the UBP as "any person, firm, association or corporation who acts as broker in soliciting, negotiating or advising any electric or natural gas contract, or acts as an agent in accepting any electric or natural gas contract on behalf of an ESCO."

Directories

Energy Broker and Consultant Directory

Energy Broker and Consultants that have received a registration letter can be found in this directory.

Broker / Consultant Directory

Energy Broker and Consultant Sole Proprietor Directory

Energy Broker and Consultant Sole Proprietors that have received a registration letter can be found in this directory.

Sole Proprietor Directory

Forms

Energy Brokers and Consultants are required to submit this registration form.

Direct Employees of an Energy Broker or Energy Consultant are not required to submit this form as long as a registered Energy Broker or Energy Consultant is responsible for ensuring compliance.

Instructions on registering and filing are available at https://dps.ny.gov/dmm-help-electronic-filing-registration-instructions.

A template for a letter of credit that meets the requirements set forth by the Commission is also provided below.

Uniform Business Practices Documents

To Be Effective April 2026