New York General Business Law Article 23-A - FRAUDULENT PRACTICES IN RESPECT TO STOCKS, BONDS AND OTHER SECURITIES
- 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...
- 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...
- 352-b - Non-Resident Brokers, Dealers, Salesmen and Investment Advisors; Designation of Secretary of State As Agent for Service of Process; Service of Process
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,...
- 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...
- 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...
- 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...
- 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...
- 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...
- 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...
- 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...
- 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...
- 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...
- 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,...
- 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...
- 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...
- 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 does not...
- 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...
- 353-a - Receivers.
In any action brought by the attorney-general as provided in this article, the court at any stage of the proceedings may appoint a receiver of...
- 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...
- 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...
- 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...
- 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.
- 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...
- 359 - Immunity.
Upon any investigation before the attorney-general or his deputy or other officer designated by him, or in any criminal proceeding before any court or grand...
- 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...
- 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...
- 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...
- 359-e - Definitions.
Registration requirements. 1. The following terms, whenever used or referred to in this article, shall have the following meaning unless a different meaning clearly appears...
- 359-Ee - Report of Existence.
1. Every person, partnership, corporation, company, trust or association which caused to be filed in the department of law a "dealer's statement" on or before...
- 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...
- 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...
- 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...
- 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...
- 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...
- 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...
Last modified: February 3, 2019