2023 New York Laws › GBS - General Business › Article 23-A - Fraudulent Practices in Respect to Stocks, Bonds and Other Securities › 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 entitled and endorsed, "Certificate of Report
  of  Existence  of............................(state  name  of   dealer),
  pursuant to section three hundred fifty-nine-ee, of the general business
  law" and shall state: (a) The name of the dealer, and if it was changed,
  the name under which last registered. (b) The date of the last filing of
  the  dealer's statement in the department of law. (c) That its existence
  is hereby continued.  Such certificate shall be signed and certified  by
  the dealer or any principal officer thereof.
2.  On or before January first, nineteen hundred fifty-nine, notice of
  the enactment of this section shall be given by the attorney-general  to
  each  dealer  to  which  this  section applies by mailing a copy of such
  notice to said dealer directed to said dealer at the address  stated  in
  the  "dealer's  statement" filed by said dealer in the department of law
  and then on file there. A copy of this  section  shall  be  endorsed  or
  annexed to each such notice.
3.    On   March   fifteenth,   nineteen   hundred   fifty-nine,   the
  attorney-general shall make a list containing  the  names  of  all  such
  dealers,  who  have  not  filed  the  certificate of 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 whose names are included in such list,
  declaring the "dealers' statements" theretofore filed by such dealers as
  void pursuant to the provisions of  this  section.  He  shall  file  the
  original  proclamation in his office and shall publish a copy thereof in
  the April or May issue of  the  state  bulletin  in  the  year  nineteen
  hundred fifty-nine.
5.  Upon the publication of such proclamation in the manner aforesaid,
  the "dealer's statement" of each dealer named therein  shall  be  deemed
  void  as  of  May  thirty-first,  nineteen  hundred  fifty-nine, without
  further proceedings, except as otherwise provided in subdivision six  of
  this section.
6. After this section takes effect, no dealer whose statement has been
  voided  by subdivision five of this section shall sell or offer for sale
  to the public within this state,  as  principal,  broker  or  agent,  or
  otherwise,  any securities issued or to be issued, unless and until such
  dealer shall have caused to be filed in the  department  of  law  a  new
  "dealer's  statement"  as required by section three hundred fifty-nine-e
  of this article.
7. After this section takes effect, no dealer whose statement has been
  voided by subdivision five of this section shall sell or offer for  sale
  to  the  public  within  this  state,  as principal, broker or agent, or
  otherwise, any securities issued or to be issued, unless and until  such
  dealer  shall  have  caused to be filed in the department of state a new
  "state notice" as required by section three hundred fifty-nine-e of this
  article, and, as to any securities  which  are  not  exempted  from  the
  provisions of subdivision eight of section three hundred fifty-nine-e of
  this  article  by  section  three hundred fifty-nine-f hereof, until and
  unless such dealer shall have caused to be filed in  the  department  of
  state a further "state notice" as required by such section three hundred
  fifty-nine-e.
8.  The  fee  of  the  attorney-general for filing a certificate under
  subdivisions one or six of this section shall be five dollars,  and  the

  fee  of  the department of state for filing any notice under subdivision
  seven of this section shall be two dollars.