359-EE – Report of Existence.
§ 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 June thirtieth, nineteen hundred fifty-three, shall on or before February first, nineteen hundred fifty-nine, file in the department of law a certificate which shall be […]
359-EEE – Definitions.
§ 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 meaning clearly appears from the context: (a) “Investment adviser” shall mean any person who, for compensation, engages in the business of advising members of the public, either […]
359-F – Exemptions From Certain Provisions of Section Three Hundred Fifty-Nine-E.
§ 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 sale of any of the following described securities by a dealer therein: (a) Any security issued, or guaranteed by […]
359-FF – Registration of Intra-State Offerings.
§ 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 only to persons resident within this state unless an offering prospectus which makes full and fair disclosure of all material facts is first filed […]
359-FFF – Chain Distributor Schemes Prohibited.
§ 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 grant participation in a chain distributor scheme. 2. As used herein a “chain distributor scheme” is a sales device whereby a person, upon condition […]
359-G – Violations and Penalties.
§ 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 and fifty-four staying or enjoining any practices or transactions, or with any order or with a final judgement in an action brought by the attorney-general, […]
359-H – Destruction of Certain Records, Books and Other Data by the Attorney-General.
§ 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 order of the court in proceedings commenced under article twenty-three-a of the general business law, may be […]
359-B – Effect of Unconstitutionality of Part of Article.
§ 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 so declared unconstitutional and shall not affect any other section or provision of the article.
359-C – Publication of State Notices.
§ 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 the state bulletin following the receipt thereof, except that a notice received by the department less than five days before the next issue may […]
359-E – Definitions.
§ 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 from the context: (a) A “dealer” shall mean and include any person, firm, association or corporation engaged in the business of buying and selling securities from or […]