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New York Broker-Dealer

Whiteford

Client Alert: New York State Attorney General’s Office Announces Focus on Martin Act Investigations and Prosecutions

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In recent media appearances, New York State Attorney General Letitia James announced that her office will “significantly expand” the use of the Martin Act—New York General Business Law article 23-a—to investigate and, where...more

Lowenstein Sandler LLP

Governor Signs New York LLC Transparency Act into Law

On Dec. 22, New York Governor Kathy Hochul signed the New York Limited Liability Company Transparency Act (“NY LLC Transparency Act”) into law. The NY LLC Transparency Act is modeled on the Corporate Transparency Act (“CTA”),...more

ArentFox Schiff

NYAG Proposition of Digital Assets Legislation

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On May 5, 2023, New York Attorney General Letitia James announced a landmark bill — the Crypto Regulation, Protection, Transparency, and Oversight (CRPTO) Act — that, if passed, would dramatically tighten regulation on...more

Skadden, Arps, Slate, Meagher & Flom LLP

NYAG Files Action Against Crypto Trading Platform, Takes Position That ETH Is a Security

On March 9, 2023, the New York State Attorney General’s Office (NYAG) filed a lawsuit charging crypto trading platform KuCoin for “failing to register as a securities and commodities broker-dealer and falsely representing...more

Sheppard Mullin Richter & Hampton LLP

New York Attorney General Sues to Shutter Cryptocurrency Trading Firm Coinseed

The Office of New York State Attorney General Letitia James (“NYAG”) has filed a lawsuit to shut down technology company Coinseed. The state has accused the firm of selling unregistered securities in the form of digital...more

Katten Muchin Rosenman LLP

New York Adopts New Registration and Examination Requirements for Certain Investment Adviser Related Personnel and Solicitors

Key Points - - Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment advisers to register with the state and to meet examination...more

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