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New York General Business - Article 23-A - (352 - 359-H) Fraudulent Practices in Respect to Stocks, Bonds and Other Securities
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New York Laws > New York General Business (GBS) > New York General Business - Article 23-A - (352 - 359-H) Fraudulent Practices in Respect to Stocks, Bonds and Other Securities
- New York General Business - Article 23-A - Fraudulent Practices in Respect to Stocks, Bonds and Other Securities
Section 352. Investigation by attorney-general. 352-a. Foreign corporation to make designation. 352-b. Non-resident brokers, dealers, salesmen and investment advisors; designation of secretary of state as...
- New York General Business - § 352 - Investigation by Attorney-general
1. Whenever it shall appear to the attorney-general, either upon complaint or otherwise, that in the advertisement, investment advice, purchase or sale within this state...
- New York General Business - § 352-A - Foreign Corporation to Make Designation
1. If the stocks, bonds or other securities of a foreign corporation, association, common law trust or similar organization are offered or advertised for sale...
- New York General Business - § 352-B - Non-resident Brokers, Dealers, Salesmen and Investment Advisors; Designation of Secretary of State as Agent for Service of Process; Service of Process
1. Any person, partnership, corporation, company, trust or association resident or having his or its principal place of business without the state or organized under...
- New York General Business - § 352-C - Prohibited Acts Constituting Misdemeanor; Felony
1. It shall be illegal and prohibited for any person, partnership, corporation, company, trust or association, or any agent or employee thereof, to use or...
- New York General Business - § 352-D - Effect of Prosecution Under Previous Section
A person, partnership, corporation, company, trust or association or any agent or employee thereof that, having engaged in any act or practice constituting a violation...
- New York General Business - § 352-E - Real Estate Syndication Offerings
1. (a) It shall be illegal and prohibited for any person, partnership, corporation, company, trust or association, or any agent or employee thereof, to make...
- New York General Business - § 352-EE - Conversion of Non-residential Property to Residential Cooperative or Condominium Ownership
1. The attorney general shall refuse to issue a letter stating that the offering statement or prospectus required in subdivision one of section three hundred...
- New York General Business - § 352-EEE - Conversions to Cooperative or Condominium Ownership in Certain Cities, Towns and Villages Located in the Counties of Nassau, Westchester and Rockland
1. As used in this section, the following words and terms shall have the following meanings: (a) "Plan". Every offering statement or prospectus submitted to...
- New York General Business - § 352-EEEE - Conversions to Cooperative or Condominium Ownership in the City of New York
1. As used in this section, the following words and terms shall have the following meanings: (a) "Plan". Every offering statement or prospectus submitted to...
- New York General Business - § 352-F - Description of Realty Bonds
Whenever hereafter any person, partnership, corporation, company, trust or association, or any agent or employee thereof, makes or takes part in an offering or sale...
- New York General Business - § 352-G - Exemptions
The attorney general, upon application, may exempt from the provisions of sections three hundred fifty-two-e, three hundred fifty-two-f and three hundred fifty-two-h any offerings of...
- New York General Business - § 352-H - Trust Funds
Whenever hereafter any person, partnership, corporation, company, trust or association, offers or sells securities described in subdivision one of section three hundred fifty-two-e of this...
- New York General Business - § 352-I - Injunctive Relief
Any person, partnership, corporation, company, trust or association, or any agent or employee thereof, who violates any of the provisions of sections three hundred fifty-two-e,...
- New York General Business - § 352-J - Application of Article
All the provisions of this article shall be fully applicable to real estate syndication offerings and security transactions described in subdivision one of section three...
- New York General Business - § 352-K - Broker Dealer Minimum Capital Requirements
1. Every broker-dealer registered or required to be registered in this state shall have and maintain a net capital of not less than five thousand...
- New York General Business - § 352-L - Coopertive Corporations
§ 352-l. Cooperative corporations. 1. For the purposes of this section, "non-occupying owner" shall mean the owner of shares in a cooperative corporation who...
- New York General Business - § 353 - Action by Attorney-general
1. Whenever the attorney-general shall believe from evidence satisfactory to him that any person, partnership, corporation, company, trust or association has engaged in, is engaged...
- New York General Business - § 353-A - Receivers
appointed pursuant to this section, but such commissions or compensation shall be fixed by the court in any amount which it may determine to be...
- New York General Business - § 354 - Examination of Witnesses and Preliminary Injunction
Whenever the attorney-general has determined to commence an action under this article, he may present to any justice of the supreme court, before beginning such...
- New York General Business - § 355 - Procedure on Hearing
The order for such examination must be signed by the justice making it and service of a copy thereof with an endorsement by the attorney-general...
- New York General Business - § 356 - Powers of Referee
The referee appointed as provided in this article possesses all the powers and is subject to all the duties of a referee appointed in a...
- New York General Business - § 357 - Application of Provisions of Civil Practice Law and Rules
The provisions of the civil practice law and rules shall apply to all actions brought under this article except as herein otherwise provided.
- New York General Business - § 358 - Criminal Prosecution
The attorney-general may prosecute every person charged with the commission of a criminal offense in violation of the laws of this state, applicable to or...
- New York General Business - § 359 - Immunity
in accordance with the provisions of section 50.20 or 190.40 of the criminal procedure law.
- New York General Business - § 359-A - Appointment of Deputies
For the purposes of this article, the attorney-general may in his discretion, and without civil service examination, appoint and employ, and at pleasure remove, such...
- New York General Business - § 359-B - Effect of Unconstitutionality of Part of Article
Should any section or provision of this article be declared unconstitutional, by the decision of any court, such decision shall affect the section or provision...
- New York General Business - § 359-C - Publication of State Notices
1. Every state notice filed in the department of state pursuant to this article shall be published by such department in the next issue of...
- New York General Business - § 359-E - Definitions
shall apply: (i) "Commodity" means, except as otherwise specified by the attorney general by rule, regulation or order, any agricultural, grain, animal, chemical, metal or...
- New York General Business - § 359-EE - Report of Existence
required by subdivision one of this section. 4. The attorney-general shall make a proclamation under his hand and seal of office as to the dealers...
- New York General Business - § 359-EEE - Definitions
Registration requirements for investment advisers. 1. The following terms, whenever used or referred to in this article, shall have the following meaning unless a different...
- New York General Business - § 359-F - Exemptions From Certain Provisions of Section Three Hundred Fifty-nine-e
1. The provisions of subdivision eight of section three hundred and fifty-nine-e shall not apply to any transactions relating to the sale or offering for...
- New York General Business - § 359-FF - Registration of Intra-state Offerings
1. It is unlawful for any person, directly or indirectly, to offer or sell any security which is part of an issue offered and sold...
- New York General Business - § 359-FFF - Chain Distributor Schemes Prohibited
1. It shall be illegal and prohibited for any person, partnership, corporation, trust or association, or any agent or employee thereof, to promote, offer or...
- New York General Business - § 359-G - Violations and Penalties
1. (a) Any person, partnership, corporation, company, trust or association having been served with an order issued pursuant to the provisions of section three hundred...
- New York General Business - § 359-H - Destruction of Certain Records, Books and Other Data by the Attorney-general
Any and all books, registers, cards, indices, office records and other documentary evidence seized and held by the department of law under a subpoena or...
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