2006 New York Code - Registration; Penalty For Failure.

 
    § 275-a.  Registration;  penalty  for  failure.  Every  person  acting
  individually or as a trustee, firm, company, association or  corporation
  engaged  in  whole  or  in  part  in the making or negotiating of sales,
  agreements to sell, deliveries or transfers of  shares  or  certificates
  taxable  under  this  article,  or  conducting  or  transacting  a stock
  brokerage business, and every corporation, stock association, company or
  trustee which shall maintain a principal office  or  place  of  business
  within  the  state  or  which  shall keep or cause to be kept within the
  state of New York a place for the sale,  transfer  or  delivery  of  its
  stock,  or other certificates included within this article, shall within
  ten days after the amendment to this section shall take effect if such a
  certificate shall  not  have  been  theretofore  filed  with  the  state
  comptroller, or within ten days after engaging in such business or after
  establishing  such  principal office or place of business, or such place
  for the sale or transfer of its certificates, as the case may  be,  file
  in the office of the tax commission a certificate setting forth the name
  under  which such business is, or is to be, conducted or transacted, and
  the true or real full name or names of the person or persons  conducting
  or  transacting  the  same, with the post office address or addresses of
  said person or persons, unless the party so certifying be a  corporation
  or  trustee, in which event it shall set forth its said principal office
  or place of business and when and where incorporated or organized.  Said
  certificate  shall  be  executed  and duly acknowledged by the person or
  persons so conducting or intending to conduct said business  or  by  the
  president or secretary of the corporation as the case may be.
    In  the  event of a change in the persons composing such firm, company
  or association or of the persons acting  as  such  trustees  or  of  the
  address  of  any such person, firm, company, association, corporation or
  trustees, or termination  of  such  business  or  relationship,  a  like
  certificate  setting  forth  the  facts  with  respect to such change or
  termination shall within ten days thereafter be filed in the  office  of
  the tax commission.
    Any  such  person  acting individually or as a trustee, firm, company,
  association or corporation who shall fail to comply with the  provisions
  of  this  section  shall be guilty of a misdemeanor, and upon conviction
  thereof shall pay a fine of not less than one hundred dollars  nor  more
  than  five hundred dollars or be imprisoned for not more than six months
  or by both such fine and imprisonment, in the discretion of the court.