2023 New York Laws › EXC - Executive › Article 7-A - Solicitation and Collection of Funds for Charitable Purposes › 172-D - Prohibited Activity.

§ 172-d. Prohibited   activity.   Except   as   exempted  pursuant  to
subdivision one of section one hundred seventy-two-a of this article, in
addition to other violations of this article no person shall:
1. Make any material statement which is untrue in an  application  for
registration,  registration  statement,  a claim of exemption, financial
report or any other forms or documents required to  be  filed  or  filed
pursuant  to  this  article;  or  fail to disclose a material fact in an
application  for  registration,   registration   statement,   claim   of
exemption,  financial report or any other forms or documents required to
be filed or filed pursuant to this article; or
2. Engage in any fraudulent or illegal act, device,  scheme,  artifice
to  defraud  or  for  obtaining  money  or  property by means of a false
pretense,  representation  or  promise,  transaction  or  enterprise  in
connection with any solicitation or with the registration, reporting and
disclosure  provisions of this article. The term "fraud" or "fraudulent"
as used herein shall include those acts which may  be  characterized  as
misleading  or deceptive including but not limited to those acts covered
by the term "fraud" or "fraudulent" under subdivision twelve of  section
sixty-three  of  this  chapter.  To  establish  fraud  neither intent to
defraud nor injury need to be shown; or
3. Use or intend to use false or materially misleading advertising  or
promotional material in connection with any solicitation; or
4.  Fail  to  apply contributions in a manner substantially consistent
with the solicitation or the registration statement  of  the  charitable
organization or the purposes expressed therein; or
5.  Enter  into  any contract or agreement with or otherwise employ or
engage  any  professional  fund  raiser,   fund   raising   counsel   or
professional  solicitor  required  to  be  registered  pursuant  to this
article unless such professional fund raiser, fund  raising  counsel  or
professional  solicitor  has provided to such person a statement, signed
under penalties for perjury, that it is  registered  and  in  compliance
with all filing requirements of this article; or
6.  Enter  into any contract or agreement, employment or engagement to
raise funds or conduct any fund raising activities  for  any  charitable
organization  required  to be registered pursuant to this article unless
such charitable organization is registered and in  compliance  with  all
filing requirements of this article; or
7.  Repeatedly  and  wilfully fail to file as required by this article
any fund-raising contract, closing statement or report or other form  or
document; or
8.  Fail  to  respond  or  comply within sixty days with any cease and
desist order of the attorney general; or
9.  Represent  in  any  manner  that   registration   constitutes   an
endorsement or approval by the state or the attorney general; or
10.  Solicit  for  a  charitable  purpose  or engage in any other fund
raising activities without being a registered charitable organization in
compliance with all filing requirements of this article, if required  to
be  registered,  or  having  a  written  contract  or  agreement  with a
charitable  organization  or  registered  charitable   organization   if
required to be registered, authorizing solicitation on its behalf; or
11.  Continue  soliciting  on behalf of a charitable organization more
than fifteen days after the cancellation in accordance with  subdivision
six of section one hundred seventy-four-a of this article; or
12.  Act as or enter any contract or other agreement with a charitable
organization as a professional fund raiser,  fund  raising  counsel,  or
professional solicitor without having registered and being in compliance
with all filing and disclosure requirements of this article; or
13.  Fail to maintain books and records as required by this article or
fail to produce to the attorney  general  any  such  books  and  records
within  fifteen days of receiving, by certified mail, a request for such
books and records; or
14.  Fail  to  discontinue  solicitation  immediately  or  to register
pursuant to this article within fifteen days after the attorney  general
has  given  notice  pursuant  to  subdivision two of section one hundred
seventy-five of this article of violation of subdivision  one,  two,  or
three of section one hundred seventy-four of this article; or
15.  Fail  to  provide  a  charitable  organization  with  an accurate
accounting of a  sale  advertised  for  its  benefit  as  prescribed  by
subdivision  three  of  section  one  hundred  seventy-three-a  of  this
article; or
16. Knowingly use in the course of soliciting contributions for or  on
behalf  of  a  charitable  organization a name, symbol, or other mark so
closely  related  or  similar  to  that  used  by  another   established
charitable  organization  that  the use thereof would tend to confuse or
mislead the public; or
17. Solicit contributions in a manner or with words which are coercive
as such term is defined pursuant to section 135.65 of the penal law; or
18. Vote or use personal influence as an  officer  or  member  of  the
board  of  directors  of  a charitable organization, a majority of whose
members are professional fund raisers or their designees on  matters  on
which  such  officer  or  member has a financial or material conflicting
interest; or
19. Include in any solicitation a statement that the financial  report
of a charitable organization or professional fund raiser is on file with
the  attorney general unless the charitable organization or professional
fund raiser has complied with all filing requirements pursuant  to  this
article  and article eight of the estates, powers and trusts law, to the
extent also applicable; or
20. Use in any solicitation a New York state address, including a  New
York state return address unless:
(a) the charitable organization maintains and staffs an office at that
address; or
(b) immediately proximate to the New York address, both the address of
the  charitable organization's actual headquarters and the fact that the
New York address is a "mail drop", using this or a substantially similar
term that clearly conveys the message that the New York address is  that
of a mail handling facility; or
21.  State  or  imply  that  a  charitable  organization  conducts any
activities in New York and/or benefits New York state  residents  unless
it conducts such activities and/or provides such benefits.