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Securities law in New York is a complex body of both federal and state laws designed to protect investors. The laws regulate how companies can offer and sell securities, and ensure full transparency, fair dealings, and prevention of fraud. Everyone from Wall Street brokers to small businesses must abide by the Securities law.
Seeking legal help becomes imperative in numerous situations such as when you’re issuing securities for your business, investing large amounts in securities, facing a securities lawsuit, or involved in complex securities transactions. Lawyers can help you to rightly interpret and comply with applicable laws, and represent your interests in potential disputes or lawsuits.
In addition to federal laws and regulations, New York has its own specific laws, known as 'blue sky laws'. The Martin Act governs securities activities in the State of New York. It offers broad powers to the New York State Attorney General for securities fraud enforcement. Another important law includes section 352-c of the General Business Law which criminalizes fraudulent practices in respect to stocks, bonds, and other securities.
A security is a financial instrument that represents some type of financial value. This can include stocks, bonds, options, notes, investment contracts, etc.
The New York State Attorney General enforces the Martin Act, New York's blue sky law. The Attorney General has significant powers under this act for preventing fraudulent securities activities.
Securities fraud includes deceptive practices in the stock and commodity markets, such as insider trading or providing false information about a company's financial condition.
At the federal level, the Securities and Exchange Commission (SEC) regulates securities. In New York, securities are also regulated by the New York State Attorney General under the Martin Act.
Yes, if you're involved in a dispute related to securities, a lawyer can represent you. This can include cases like suspected securities fraud, broker disputes, insider trading allegations, etc.
Governmental bodies such as the U.S. Securities and Exchange Commission (SEC) and the New York State Attorney General’s office can provide numerous resources regarding securities law. Additionally, reputable law firms and legal aid societies can assist with information and professional legal guidance.
If you find yourself needing legal assistance in securities, it is highly recommended to hire an experienced securities lawyer. Collect and organize all relevant documents and facts related to your case, and develop a list of questions to ask your potential attorney. Ensure that the lawyer you're considering is well-experienced in securities law in New York, as this field requires a deep understanding of both federal and state laws.
