September 26, 2022
… 26, 2022 Nexo Failed to Register as Required by New York Law and Lied to Investors about Their Registration NEW YORK – New York Attorney General Letitia … said Attorney General James . “Nexo violated the law and investors’ trust by falsely claiming that it is a …
September 01, 2022
… document pursuant to State Administrative Procedure Act Section 102(14). I. Introduction This memorandum … New York General Business Law (“GBL”) Article 23-A, the “Martin Act.” II. Statutory and Regulatory Requirements for … comply with registration and filing requirements of the Martin Act even if the property is located outside of New …
September 01, 2022
… pursuant to New York State Administrative Procedure Act § 102(14). I. INTRODUCTION The DOL has observed that … Article 23-A of N.Y. Gen. Bus. Law (“GBL”), the “Martin Act,” and applicable governing regulations expressly … AUTHORITY PROHIBITING DISCLAIMERS OF LIABILITY A. The Martin Act The Martin Act prohibits fraud in the offering and …
September 01, 2022
… document pursuant to State Administrative Procedure Act § 102(14). I. INTRODUCTION Due to the COVID-19 state of … pursuant to Article 23-A of the General Business Law (“the Martin Act”), REF’s regulations, REF’s guidance documents, … authority to take enforcement action pursuant to the Martin Act and other applicable provisions of law, except as …
September 01, 2022
… is not offering or selling “to the public” under the Martin Act. The commenter referenced a 2002 paper by the Business … and Rule 506 were not offered “to the public” under the Martin Act and that no fees or filings are required The …
September 01, 2022
… document pursuant to State Administrative Procedure Act § 102(14) involving compliance with the Martin Act and governing regulations for occupied buildings … so long as they do not involve any violations of the Martin Act or other applicable laws and regulations, and are …
September 01, 2022
… document pursuant to State Administrative Procedure Act § 102(14). Introduction The Real Estate Finance Bureau of … the requirements of the PHFL. Required Filing Under the Martin Act In the event that a BCL HDFC obtains the consent … a new offering plan must be submitted pursuant to the Martin Act, along with compliance with the applicable …
September 01, 2022
… pursuant to New York State Administrative Procedure Act § 102(14). I. INTRODUCTION The DOL’s Real Estate Finance … requirements pursuant to Article 23-A of the G.B.L. (“the Martin Act”), REF’s regulations, REF’s guidance documents, … the authority to take enforcement action pursuant to the Martin Act and other applicable provisions of law in the …
September 01, 2022
… assess whether the applicant violated any provision of the Martin Act, including by failing to comply with any regulation … be subject to discipline under the Uniform Securities Act or the Blue Sky laws of any other state; has been subject …
September 01, 2022
… YORK STATE ATTORNEY GENERAL FROM REGISTRATION UNDER THE MARTIN ACT. THIS OFFERING MATERIAL MAY BE SUBJECT TO FURTHER … OFFERING MATERIAL OR OTHER FRAUDULENT PRACTICES UNDER THE MARTIN ACT. Rev. 4/18 Page 1 Page 2 Page 3 Page 4 Page 5 Page …
September 01, 2022
… renew same, any stipulation or consent to desist from any act or practice, any disciplinary action by any court or … committed fraud or otherwise violated any provision of the Martin Act or any other securities law? Yes [ ] No [ ] 9. If the …
September 01, 2022
… renew same, any stipulation or consent to desist from any act or practice, any disciplinary action by any court or … committed fraud or otherwise violated any provision of the Martin Act or any other securities law? Yes [ ] No [ ] 9. If the …
September 01, 2022
… committed fraud or otherwise violated any provision of the Martin Act or any other securities or commodities laws? Yes … as defined under GBL § 359-e (14) and that I will not act as a securities salesperson with respect to any …
September 01, 2022
… document pursuant to State Administrative Procedure Act § 102(14). Applicability: The New York State Department … interest, as proposed, conforms with the Condominium Act; e) Recent electric/utility bills for the building’s … as an owner and is entitled to disclosure under the Martin Act. Accordingly, the inclusion of a tenant or other …
September 01, 2022
… document pursuant to State Administrative Procedure Act § 102(14). I. INTRODUCTION Due to the COVID-19 state of … pursuant to Article 23-A of the General Business Law (“the Martin Act”), REF’s regulations, REF’s guidance documents, … the Attorney General has the authority under the Martin Act to investigate and strictly enforce violations of …
September 01, 2022
… committed fraud or otherwise violated any provision of the Martin Act or any other securities or commodities laws? Yes …
September 01, 2022
… document pursuant to State Administrative Procedure Act § 102(14). 2 This guidance document was updated on June … required documents to the OAG Cloud in accordance with the Martin Act, REF’s regulations, and REF’s guidance documents. After …
September 01, 2022
… committed fraud or otherwise violated any provision of the Martin Act or any other securities or commodities laws? Yes …
September 01, 2022
… interests in realty. GBL § 352-e. This section of the Martin Act governs both syndications and cooperative interests in …
September 01, 2022
… committed fraud or otherwise violated any provision of the Martin Act or any other securities or commodities laws? Yes …
September 01, 2022
… AND EXCHANGE COMMISSION UNDER THE FEDERAL SECURITIES ACT OF 1933 General Business Law ("GBL") §352-g(2) provides … Securities and Exchange Commission under the Securities Act of 1933. Policy Statement 102 ("PS 102") provides an … OFFERING MATERIAL OR OTHER FRAUDULENT PRACTICES UNDER THE MARTIN ACT. Rev. 4/18 Page 1 Page 2 Page 3 Page 4 Page 5 Page …
September 01, 2022
… under Section 208 (c) of the Federal Investment Advisers Act of 1940. Form CADV IPB CADV rev 2/21 2 10. Is the … committed fraud or otherwise violated any provision of the Martin Act or any other securities or commodities laws? Yes …
