New York Laws
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.