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Investments

Investments are assets or items acquired for the purpose of generating interest payments, income, or appreciation in value. Real estate, stocks, bonds, options, annuities, mutual funds, cryptocurrencies, artwork, and collectibles are common examples of investments.

In New York, as in other states, investments are regulated to protect investors and ensure fair practices in the market. Real estate investments are overseen by the New York State Department of State's Division of Licensing Services, which regulates real estate brokers and salespersons. The trading of stocks, bonds, options, annuities, and mutual funds falls under the jurisdiction of federal entities such as the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), as well as state regulations enforced by the New York Attorney General's Investor Protection Bureau. Cryptocurrencies, while still an evolving area of law, are subject to both federal guidelines and New York's BitLicense regulatory framework, which governs the operation of virtual currency businesses. Artwork and collectibles, while not as heavily regulated, may be subject to authenticity and provenance verification, and transactions often require due diligence to avoid fraud. It's important for investors in New York to be aware of these regulations and to consult with an attorney if they need guidance on investment-related legal matters.

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State Statutes

advance fee fraud affinity fraud annuity

brokerage accounts brokerage accounts — churning

cryptocurrency

dividends

Employer 401(k) plan ESOPs

FINRA

hedge funds high - yield investment programs

internet and social media fraud

mutual funds

Ponzi schemes pump and dump schemes pyramid schemes

SAFE (simple agreement for future equity)

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Investments

Individual & Family Legal Plan

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New-York State Code

New-York State Code

Investments

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