N.Y. Executive Law § 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.