Description: This act regulates the activities of investment advisers in New York, requiring them to register with the state and adhere to rules and regulations designed to protect investors from fraud and misconduct.

Scope: It covers registration, disclosure, and enforcement measures to ensure that investment advisers act in the best interests of their clients.

Description: New York’s crowdfunding law allows businesses to raise funds through online platforms, providing rules to ensure that investors are protected while enabling small businesses to access capital.

Scope: The law sets limits on the amount of money an individual can invest, and it provides guidelines for crowdfunding platforms to operate legally and protect investor interests.

Description: The NYUSA is designed to ensure that investors receive truthful and accurate information about securities. It mandates full disclosure by companies offering securities and requires the registration of securities with the state before they can be offered or sold to the public.

Scope: The law covers the regulation of brokers, dealers, and investment advisers, and it lays out the procedures for the enforcement of violations.

Description: The New York Securities Act governs the issuance and sale of securities within the state. It provides for the registration of securities and the licensing of broker-dealers, investment advisers, and other related professionals.

Scope: The act protects investors by ensuring proper registration and disclosure of securities, providing investor protection against fraud and conflicts of interest.

Description: NYDFS oversees a wide range of financial institutions, including banks, insurance companies, and securities firms, to ensure the safety, soundness, and integrity of the financial services industry in New York. It has the authority to regulate financial entities, issue licenses, and enforce compliance with state laws.

Scope: Regulations from NYDFS affect investors, investment advisers, and firms in New York, ensuring that market participants adhere to transparency and integrity standards.

Description: The Martin Act (New York General Business Law §352-358) is one of the most powerful state securities laws in the U.S., giving the New York Attorney General broad authority to investigate and prosecute securities fraud. It includes provisions that make it illegal for anyone to engage in fraudulent practices, misleading statements, or omissions in relation to the sale of securities in New York.

Scope: The law covers securities fraud, deceptive practices, and fraud in investment transactions. It has been used in several high-profile cases.

State agencies that oversee compliance with securities regulations.
Example: New York State Department of Financial Services (NYDFS).