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New York State
REAL PROPERTY LAW (RPL)
Laws 1909, Chap. 52


ARTICLE 9-A

SUBDIVIDED LANDS

Section             337.   Definitions.
                    337a.  Provisions governing sale or lease
                           of subdivided lands.
                    337b.  Offering statement; contents;
                           prohibitions.
                    337c.  Right to cancel.
                    338.   Inspection power of department of
                           state; unlawful practices; penalties.
                    339.   Filing fees.
                    339a.  Rules and regulations.
                    339b.  Powers of department.
                    339c.  Action by department of state.

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Sec. 337.      Definitions. As used in this article:

1.   The words "subdivided lands" and "subdivision" mean vacant
     land or lands sold or leased on the installment plan or
     offered for sale or lease on such plan and also vacant land
     or lands situated outside the state of New York and sold or
     leased or offered for sale or lease on the installment plan
     or upon any and all other plans, terms and conditions of
     sale or lease.

2.   The word "subdivider" shall include every person,
     partnership, corporation, company or association who or
     which engages directly or through an agent in the business
     of selling, leasing or offering for sale or lease subdivided
     lands and subdivisions to the public in this state.

3.   The words "installment plan" mean any plan, arrangement or
     agreement pursuant to the terms, covenants and conditions
     whereof the proposed purchaser of vacant land or lands to be
     acquired amortizes the purchase price by periodic payments
     and whereby the conveyance of title to the purchaser of such
     vacant land or lands is deferred until such time as all said
     periodic payments have been made and shall also include the
     provision in a plan, arrangement or agreement or lease
     requiring a consideration from the lessee in addition to the
     periodic payments as a condition precedent to the conveyance
     of title to the lessee.

4.   The words "a lease of land or lands on the installment plan"
     mean and include a plan, arrangement or agreement whereunder
     the periodic payments made are designated as rent and upon
     the completion of such payments the lessee is entitled to a
     conveyance of title to the vacant land or lands leased.

5.   The words "fraudulent practice" or "fraudulent practices"
     mean any device, scheme or artifice employed by a subdivider
     to defraud or obtain money or property by means of any false
     pretense, representation or promise, or that a subdivider
     makes or attempts to make fictitious or pretended purchases,
     sales or leases of vacant land or lands to the public in
     this state, or engages in or is about to engage in any
     practice or transaction or course of business relating to
     the purchase, sale or lease of vacant land or lands which is
     fraudulent or in violation of law and which has operated or
     which would operate as a fraud upon the purchaser, or that
     any owner or subdivider as hereinbefore defined has sold or
     offered for sale or is attempting to sell or is offering for
     sale any vacant land or lands in violation of the provisions
     of this article.


Sec. 337-a.    Provisions governing sale or lease of subdivided
               lands.

No subdivider shall sell, lease, or offer for sale or lease to
the public within this state, as principal, broker or agent or
otherwise, subdivided vacant lands or any part thereof, unless
and until such subdivider shall have caused to be filed in the
department of state (a) an offering statement containing the
information and data required by section three hundred thirty-
seven-b of this article, (b) such data and information as the
department may require as provided in section three hundred
thirty-nine-b of this article and (c) a statement subscribed by
the subdivider and affirmed by him as true under the penalties of
perjury, containing:

1.   The name of such owner and subdivider,

2.   The address of the principal office of such owner and
     subdivider, wherever situated, and the address or addresses
     of the principal office and all branch offices of the owner
     and subdivider within this state, if any,

3.   The name of the person, partnership, company, corporation or
     association who or which acquired a legal or equitable title
     to the land or lands for sale or lease and who or which will
     subdivide vacant land or lands offered for sale or lease for
     the purpose of offering such subdivided vacant lands or any
     part thereof to the general public,

4.   If such owner and subdivider be an individual or
     individuals, a statement of their respective connections
     during the preceding five years with any person,
     partnership, corporation, company or association engaged in
     the business of selling or leasing subdivided vacant lands,
     and the description of the last project or projects in
     subdivided vacant lands, the whole or any part of which have
     been sold or offered for sale or lease by such owner and
     subdivider,

5.   If such owner and subdivider be a partnership, the names,
     residence and business addresses of the partners, including
     special or limited partners, and of all other individuals
     participating as principals in the profits of such business,
     specifying as to each the nature of his relation to such
     business and giving with respect to each all of the
     information required by subdivision four of this section to
     be given by an owner and subdivider who is an individual,

6.   If such owner and subdivider be other than an individual or
     partnership, the name of the state or country where
     incorporated or organized, and the names, residence and
     business addresses of its principal officers, wherever
     located, and of its officers and branch managers in this
     state, specifying as to each the nature of his relation to
     such business, and giving with respect to each all of the
     information required by subdivision four of this section to
     be given by an owner and subdivider who is an individual,

7.   A statement as to whether such owner and subdivider, or, if
     such owner and subdivider be other than an individual,
     whether any partner, principal, officer, director or branch
     manager thereof, has been convicted by a court of competent
     jurisdiction in any state or country of any criminal offense
     in connection with any transaction involving the sale or
     offer for sale of subdivided lands, or has been enjoined or
     restrained by order of any court of competent jurisdiction
     from selling or offering for sale subdivided vacant lands in
     any state or country, or continuing any practices in
     connection therewith,

8.   The complete description of the land offered for subdivision
     or any part thereof by lots, plots, blocks or sites, with or
     without streets, together with maps certified to by a duly
     licensed land surveyor accompanied by a certificate attached
     thereto showing the date of the completion of the survey and
     of the making of the map and the name of the subdivision for
     the purpose of identification of the subdivided lands or any
     part thereof. Where subdivisions were surveyed and mapped
     prior to March first, nineteen hundred thirty-six, a
     certified copy of the map covering the property, on file in
     the office of the clerk of the county wherein the property
     is located, shall be deemed compliance with the provisions
     herein.

9.   A search of the title to the land, accompanied by a
     certificate either of an attorney and counselor at law duly
     licensed to practice in the state of New York, or a
     certificate from a duly incorporated title search company or
     the certificate of an attorney and counselor at law duly
     licensed to practice in the state wherein the lands are
     situated reciting in detail all of the liens, encumbrances
     and clouds upon the title to such land, and which defects of
     title, if any, render the title to such land unmarketable.

10.  The provisions, covenants, terms and conditions upon which
     it is the intention of the owner and subdivider to sell or
     lease such subdivided land accompanied by proposed forms of
     contracts contemplated for execution and delivery upon the
     consummation of sales or leases,

11.  Such other and further data and information as the
     department of state may, in its discretion, demand to be
     executed upon forms prescribed by it for filing pursuant to
     the provisions of this article.


Sec. 337-b.    Offering statement; contents; prohibitions.

1.   Contents. The offering statement shall contain (a) the
     names, addresses, business background of the subdivider, and
     if such subdivider is a partnership or corporation, the
     names, addresses and business background of each of the
     partners, officers and principal stockholders, the nature of
     their fiduciary relationship and their financial
     relationship, past, present and future, to the subdivider;
     (b) a duly certified financial statement of the assets and
     liabilities of the subdivider, as of a date not more than
     three months prior to the date of the filing, in such detail
     as the department may require; (c) a description of the
     subdivision and each unit or lot into which it has or will
     be divided, in such detail as the department may require;
     (d) the material terms of any encumbrances, liens and
     restrictions upon the subdivision and each such unit or lot;
     (e) data and information concerning improvements, including
     streets, water supply and sewerage disposal facilities, in
     existence on the subdivision, and the estimated cost, date
     of completion and responsibility for construction of
     improvements to be made which are referred to in connection
     with the sale or lease or offering for sale or lease of the
     subdivision or any unit or lot thereon; (f) each of the
     terms and conditions under which each such unit or lot is
     offered for sale; and (g) such additional data and
     information as the department may require as being necessary
     or appropriate in the public interest or for the protection
     of purchasers or lessees.

2.   There may be omitted from any offering statement any of the
     information required under subdivision one of this section
     which the department may by rules and regulations designate
     as not being necessary or appropriate in the public interest
     or for the protection of purchasers.

3.   Limitations. No offer to sell or lease subdivided lands by
     means of advertisements in periodicals or newspapers, or on
     television or radio, or by motion picture or otherwise shall
     be made unless a copy of such advertisement has first been
     filed with the department. A filing fee, which in no case
     shall exceed twenty-five dollars, of five dollars for each
     page of periodical, newspaper or radio advertisement and of
     twenty-five dollars for each item of television, motion
     picture or other advertising matter, shall accompany each
     such copy thereof. All such advertisements shall contain
     reference to the fact that an offering statement has been
     filed with the department and that a copy of such statement
     is available, upon request, from the subdivider.

4.   Except as provided in subdivision three of this section, no
     offer of sale or lease of subdivided lands shall be made
     unless such offer is accompanied by a copy of the current
     offering statement filed pursuant to this article.

5.   The first page of the offering statement and the face of all
     advertising and literature employed in the sale or lease or
     offer for sale or lease of subdivided lands shall contain a
     statement in easily readable print, that the filing of the
     verified statement and offering statement with the
     department of state does not constitute approval of the sale
     or lease or offer for sale or lease by the department of
     state or any officer thereof, or that the department of
     state has in any way passed upon the merits of such
     offering.

6.   No sale or lease of subdivided lands shall be made unless
     accompanied or preceded by the delivery to the prospective
     purchaser of an offering statement complying with the
     provisions of this section.

7.   No change or amendment of an offering statement shall be
     made unless a copy of such change or amendment has first
     been filed with the department.

8.   The subdivider, within thirty days after the anniversary
     date of the filing of an offering statement, shall file with
     the department of state a new current and up-to-date
     offering statement setting forth therein all changes which
     have taken place during the preceding year with respect to
     any and all data and information required to be set forth in
     such offering statement. Only a current offering statement
     shall be used to sell or lease or offer to sell or lease any
     of the subdivided lands.


Sec. 337-c.    Right to cancel.

Whenever a contract of sale or lease of subdivided lands is
entered into, or an offer to purchase or lease such land is made
by the purchaser, lessee or offerer delivering the executed
agreement or offer personally to the subdivider or any officer,
director, employee or agent thereof, at the subdivision, or at a
meeting or gathering of any type arranged by the subdivider, or
any officer, director, employee or agent thereof, within or
without the state, and the purchaser, lessee or offerer is not
represented in such transaction by an attorney, the purchaser,
lessee or offerer, in addition to any other rights, shall have
the right to cancel the agreement, offer, or any agreement
effected by the acceptance of such offer within ten days of such
delivery, by giving the subdivider notice of cancellation at the
address listed in the offering statement filed by the subdivider,
by registered or certified mail return receipt requested. Within
ten days of receipt of such a notice of cancellation the
subdivider shall return to the purchaser, lessee or offerer all
consideration paid or delivered on account of such contract of
sale or lease or offer. The subdivider shall deliver a copy of
this section to the purchaser, lessee or offerer at the time such
person shall personally deliver the executed agreement or offer.


Sec. 338.      Inspection power of department of state; unlawful
               practices; penalties.

1.   The department of state may cause an investigation and an
     inspection to be made of any subdivision of vacant land
     proposed to be offered for sale or lease in this state
     pursuant to this article and may make a report of its
     findings thereon.

2.   Where an inspection is to be made of subdivided lands,
     situated outside of the state of New York and being offered
     for sale in this state, the statement required by section
     three hundred thirty-seven-a shall be accompanied by the
     filing fee and in addition there shall be remitted to the
     department of state an amount equivalent to the cost of
     travel from New York to the location of the project and
     return, as estimated by the department of state, and a
     further amount estimated to be necessary to cover the
     additional expenses of such inspection, not to exceed
     fifteen dollars a day, for each day consumed in the
     examination of the project.

3.   It shall be unlawful for the subdivider or his or its agent,
     to change the financial structure of such offering after the
     submission thereof to the department of state without first
     notifying the department in writing of such intention.

4.   Where the vacant lands to be subdivided shall be subject to
     a lien or encumbrance securing or evidencing the payment of
     money other than taxes or assessments levied by public
     authority, or where the interest of the owner and subdivider
     or his or its agent be held under option or contract of
     purchase or in trust, it shall be unlawful to sell any
     vacant land in such subdivision unless provision in such
     lien, encumbrance, option, contract or trust agreement, or
     in an agreement supplementary thereto, enables the vendor to
     convey valid title to each parcel so sold or leased free of
     such lien, encumbrance, option, contract or trust agreement,
     upon completion of all payments and performance of all the
     terms and conditions required to be made and performed by
     the vendee under the agreement of sale. Where the
     consideration price for the lot or lots sold has been
     amortized to an extent that the balance due and owing
     thereunder equals in an amount required to release such lot
     or lots from any existing lien, encumbrance, tax,
     assessment, option contract or first agreement, and the
     initial cost for said vacant land has not been paid for by
     the owner or subdivider, that in such event all moneys
     thereafter received by the owner or subdivider from the
     purchaser of said lot or lots shall be segregated and kept
     in a separate account and be impressed with a trust which
     shall be applied towards the clearance of title to the
     vacant land thereafter intended to be conveyed to the
     purchaser. After default shall have occurred in the payment
     of any tax or assessment levied and assessed against the
     premises or after default shall have occurred under and
     pursuant to the terms of any contract, mortgage lien, charge
     or encumbrance, all moneys received by the owner or
     subdivider from the purchaser of said lot or lots shall be
     segregated and kept in a separate account and be impressed
     with a trust which shall be applied towards the clearance of
     title to the vacant land thereafter intended to be conveyed
     to the purchaser. Certified or verified copies of documents
     containing such provisions shall be filed with the
     department of state prior to the sale or lease or offer of
     sale or lease of any part of the subdivision.

5.   (a)  Every person, officer, director, agent or employee
          of a company, partnership, association or corporation
          who or which knowingly offers to sell or to lease, or
          sells or leases subdivided lands prior to the filing of
          the offering statement and the verified statement
          required by this article shall be guilty of a felony.

     (b)  Except as provided in subdivision (a) hereof, every
          person, officer, director, agent or employee of a
          company, partnership, corporation, or association who
          or which knowingly authorizes, directs or aids in the
          publication, advertisement, distribution or circulation
          of any device, scheme or artifice for obtaining money
          or property by means of any false pretense,
          representation or promise concerning any vacant land or
          lands or subdivision thereof, offered for sale or
          lease, and every person, officer, director, agent or
          employee of a company, partnership, corporation or
          association who or which shall have made or attempts to
          make in the state fictitious or pretended purchases or
          sales of vacant lands, or who, in any other respect,
          wilfully violated or fails to comply with any of the
          provisions of this article, or knowingly omits or
          neglects to obey, observe or comply with any order,
          permit, decision, demand or requirement of the
          department of state under the provisions of this
          article, is guilty of a misdemeanor and, if a licensee
          under article twelve (a) of this chapter, the
          department of state also may revoke or suspend his
          license in the manner provided in such article. The
          commission of a single act prohibited by this article
          shall constitute a violation thereof. All courts of
          special sessions, within their respective territorial
          jurisdiction, are hereby empowered to hear, try, and
          determine such violations without indictment, and to
          impose the punishments prescribed by law therefor.

6.   It shall be the duty of the attorney-general to prosecute
     all violations of the provisions of this article; such
     prosecutions may be instituted upon the written request or
     demand of the department of state. In all criminal
     proceedings, the attorney-general may appear in person or by
     his deputy before any court of record or any grand jury and
     exercise all the powers and perform all the duties in
     respect of such actions or proceedings which the district
     attorney would otherwise be authorized or required to
     exercise or perform; or the attorney-general may in his
     discretion transmit evidence, proof and information as to
     such offense to the district attorney of the county or
     counties in which the alleged violation has occurred, and
     every district attorney to whom such evidence, proof and
     information is so transmitted shall forthwith proceed to
     prosecute any corporation, company, association, or officer,
     manager or agent thereof, or any firm or person charged with
     such violation. In any such proceeding, wherein the attorney
     general has appeared either in person or by deputy, the
     district attorney shall only exercise such powers and
     perform such duties as are required of him by the attorney-
     general or the deputy attorney-general so appearing. The
     attorney-general shall, upon a conviction for a violation of
     any provision of this article, and within ten days
     thereafter, make and file with the department of state a
     detailed report showing the date of such conviction, the
     name of the person convicted and the exact nature of the
     charge.

7.   Any false statement contained in any statement or
     supplemental statement filed with the department of state
     pursuant to the requirements of this article, or in any
     affidavit attached thereto, shall constitute a violation of
     this article.

8.   Any person, partnership, corporation, company or association
     representing in any manner that the state, the department of
     state, or any officer thereof has recommended or acquiesced
     in the recommendation of the purchase of any subdivided
     lands offered for sale or lease, in advertising or offering
     such subdivided lands for sale or lease, shall be guilty of
     a misdemeanor punishable by a fine of not more than one
     thousand dollars, or imprisonment for not more than one year
     or by both such fine and imprisonment.


Sec. 339.      Filing fees.

Each filing made pursuant to section three hundred thirty-seven-a
of subdivided lands situated outside the state of New York shall
be accompanied by a filing fee of seven hundred fifty dollars
plus an additional fee of ten dollars for each lot to be offered
in excess of seventy-five lots.


Sec. 339-a.    Rules and regulations.

The department of state shall have the power to adopt from time
to time or amend such rules and regulations as it may deem
necessary to carry out the provisions of this article.


Sec. 339-b.    Powers of department.

The department of state may also require such other data and
information as it may deem relevant and may make such special and
independent investigations as it may deem necessary in connection
with the administration of this article. The department of state
by its examiner or other officer designated by it is empowered to
subpoena witnesses, compel their attendance, examine them under
oath before him or a magistrate, a court of record or a judge or
justice thereof and require the production of any books or papers
which he deems relevant or material to the inquiry. Such power of
subpoena and examination shall not abate or terminate by reason
of any action or proceeding brought by the department of state
under this article. The provisions for payment of witness fee
and/or mileage do not apply to any officer, director or person in
the employ of any person, partnership, corporation, company,
trust or association whose conduct or practices are being
investigated. A subpoena issued under this section shall be
regulated by the civil practice law and rules and, in addition,
if a person subpoenaed to attend such inquiry fails to obey the
command of a subpoena without reasonable cause, or if a person in
attendance upon such inquiry shall without reasonable cause
refuse to be sworn or to be examined or to answer a question or
to produce a book or paper when ordered so to do by the officer
conducting such inquiry, or if a person, partnership,
corporation, company, trust or association fails to perform any
act required hereunder to be performed, he shall be guilty of a
misdemeanor. It shall be the duty of all public officers, their
deputies, assistants, subordinates, clerks or employees and all
other persons to render and furnish to the department of state,
its examiner or other designated officer when requested all
information and assistance in their possession or within their
power. Any officer participating in such inquiry who shall
disclose to any person other than the secretary of state the name
of any witness examined or any other information obtained upon
such inquiry except as directed by the secretary of state shall
be guilty of a misdemeanor.


Sec. 339-c.    Action by department of state.

1.   Whenever the department of state shall believe from evidence
     satisfactory to it that a subdivider has engaged in, is
     engaged or is about to engage in any of the practices or
     transactions heretofore referred to as fraudulent practices,
     it may have an action brought in the manner hereinafter
     provided in the name and on behalf of the people of the
     state of New York against such subdivider and any other
     person or persons theretofore concerned in or in any way
     participating in or about to participate in such fraudulent
     practices, to enjoin such subdivider and such other person
     or persons from continuing such fraudulent practices or
     engaging therein or doing any act or acts in furtherance
     thereof or, if the department of state should believe from
     such evidence that such subdivider has or is engaged in any
     such fraudulent practice, it may have included in such
     action an application to enjoin permanently such subdivider
     and such other person or persons as may have been or may be
     concerned with or in any way participating in such
     fraudulent practice, from selling or offering for sale to
     the public within this state, as principal, owner,
     subdivider, broker or agent or otherwise, any vacant land or
     lands. In said action an order or a judgment may be entered
     awarding the relief applied for or so much thereof as the
     court may deem proper. Upon a showing by the department of
     state in the application brought in its behalf for a
     preliminary injunction hereunder that the defendant named in
     the action or an officer thereof has refused to be sworn or
     to be examined or to answer a material question or to
     produce a book or paper relevant to the inquiry when duly
     ordered so to do by the officer or judge duly conducting an
     inquiry into the subject matter forming the basis of the
     application for such preliminary injunction, such refusal
     shall be prima facie proof that such defendant is or has
     been engaged in fraudulent practices as set forth in such
     application and a preliminary injunction may issue from the
     supreme court without any further showing by the department
     of state.

2.   If the vacant land or lands of a foreign corporation,
     company, association or non-resident individual are offered
     or advertised for sale within the state of New York and such
     corporation, company, association or non-resident individual
     has not filed pursuant to laws heretofore or hereafter
     existing the designation of a person upon whom process
     against him or it may be served or the designation of the
     secretary of state as such person pursuant to section two
     hundred ten of the general corporation law or other laws
     heretofore or hereafter existing or in lieu thereof, an
     instrument in writing duly acknowledged and filed in the
     office of the secretary of state designating the secretary
     of state as the person upon whom may be served any subpoena,
     subpoena duces tecum or other process directed to such
     foreign corporation, company, association or non-resident
     individual and issued in any investigation, examination or
     proceeding pending or about to be instituted under and
     pursuant to the provisions of this article, a notice may be
     served upon such foreign corporation, company or
     association, or upon any non-resident officer thereof, or
     upon a non-resident individual, by mailing the same in a
     securely sealed postpaid wrapper addressed to such foreign
     corporation, company or association, or officer thereof, or
     non-resident individual, at its or his last known place of
     business or residence, and may in such notice require that
     such foreign corporation, company or association, or such
     officer thereof, or non-resident individual, furnish a
     written statement, verified as required in said notice,
     giving the information therein specified relating to the
     vacant land or lands offered or to be offered in the state
     of New York by such foreign corporation, company,
     association or non-resident individual or, in the
     alternative, that such foreign corporation, company or
     association, by its proper officer or officers, or such non-
     resident individual, shall appear within a reasonable time
     from the date of mailing such notice at a designated place
     within this state for examination and shall produce at the
     time and place of such examination such books and papers of
     such foreign corporation, company, association or non-
     resident individual, as may be designated in such notice.

     If such foreign corporation, company, association, or such
     officer thereof, or non-resident individual, shall fail to
     furnish the statement called for by such notice, or shall
     fail to appear pursuant thereto or to produce the books and
     papers required thereby to be produced, or refuse to submit
     to examination or to answer any proper question, the proof
     of such failure or refusal shall constitute prima facie
     evidence that the sale or offering for sale or advertisement
     of vacant land or lands of such foreign corporation,
     company, association or non-resident individual constitutes
     a fraudulent practice within the meaning of this act and may
     in the discretion of the court be treated as a sufficient
     basis for a permanent injunction against the continuance of
     such fraudulent practice.

3.   In any action brought in behalf of the department of state
     as provided in this article, the court at any stage of the
     proceedings may appoint a receiver of any and all property
     derived by the defendant or defendants or any of them by
     means of any such fraudulent practices, including also all
     property with which such property has been mingled if such
     property can not be identified in kind because of such
     commingling, together with any or all books of account and
     papers relating to the same. The judgment entered in such
     action may provide that such receiver shall take title to
     any or all such property and books of account and papers
     relating to the same and liquidate such property or any part
     thereof for the benefit of all persons intervening in the
     said action and establishing an interest in such property.
     The judgment may also provide that all such property, the
     title to or interest in which has not been established in
     such action by intervenors or otherwise by due process to be
     in a person or persons other than defendant or defendants,
     shall be returned to the defendant or defendants as their
     interest may appear. Such receiver shall be subject to all
     the duties of receivers appointed in civil actions as far as
     practicable except that such provisions relating to
     commissions or compensation of receivers shall not be
     applicable to receivers appointed pursuant to this Section,
     but such commissions or compensation shall be fixed by the
     court in any amount which it may determine to be just and
     equitable. In any action brought in behalf of the department
     of state as provided in this article the court may grant
     such other and further relief as may be proper.

4.   Whenever the department of state has determined to commence
     an action under this article, it may have the attorney-
     general present to any justice of the supreme court, before
     beginning such action, an application in writing for an
     order directing the person or persons mentioned in the
     application to appear before the justice of the supreme
     court or referee designated in such order and answer such
     questions as may be put to them or to any of them, or to
     produce such papers, documents and books concerning the
     alleged fraudulent practices to which the action which the
     department of state has determined to bring relates, and it
     shall be the duty of the justice of the supreme court to
     whom such application for the order is made to grant such
     application. The application for such order may simply show
     upon information and belief that the testimony of such
     person or persons is material and necessary. The provisions
     of the civil practice law and rules, relating to an
     application for an order for the examination of witnesses
     before the commencement of an action and the method of
     proceeding on such examination shall not apply except as
     herein prescribed. The order shall be granted by the justice
     of the supreme court to whom the application has been made
     with such preliminary injunction or stay as may appear to
     such justice to be proper and expedient and shall specify
     the time when and place where the witnesses are required to
     appear. The justice or referee may adjourn such examination
     from time to time and witnesses must attend accordingly. The
     testimony of each witness must be subscribed by him and all
     must be filed in the office of the clerk of the county in
     which such order for examination is filed.

5.   The order for such examination must be signed by the justice
     making it and service of a copy thereof with an endorsement
     by the department of state or the attorney-general, to the
     effect that the person named therein is required to appear
     and be examined at the time and place and before the justice
     and referee specified in such endorsement, shall be
     sufficient notice for the attendance of witnesses, such
     endorsement may contain a clause requiring such person to
     produce at such examination all books, papers and documents
     in his possession or under his control relating to the
     subject of such examination. The order shall be served upon
     the person named in the endorsement aforesaid by showing him
     the original order and delivering to and leaving with him at
     the same time a copy thereof, endorsed as above provided,
     and by paying or tendering to him the fee allowed by law to
     witnesses subpoenaed to attend trials of civil actions in
     any court of record in this state.

6.   The referee appointed as provided in this article possesses
     all the powers and is subject to all the duties of a referee
     appointed in a civil action, so far as practicable, and may
     punish for contempt a witness duly served with the papers as
     prescribed in this article for non-attendance or refusal to
     be sworn or to testify or to produce books, papers and
     documents according to the direction of the endorsement
     aforesaid, in the same manner and to the same extent as a
     referee to hear, try and determine an issue of fact or of
     law.

7.   The provisions of the civil practice law and rules shall
     apply to all actions brought under this article except as
     herein otherwise provided.

8.   If any person shall ask to be excused from testifying or
     producing any book, paper or other document before the
     department of state or the attorney-general or his deputy,
     or other officer designated by it or him or before any
     court, or magistrate, or referee, upon any trial,
     investigation or proceeding initiated by the department of
     state, the attorney-general, district attorney, grand jury
     or court pursuant to the provisions of this article upon the
     ground or for the reason that the testimony or evidence,
     documentary or otherwise, required of him may tend to
     incriminate him or convict him of crime or to subject him to
     a penalty or forfeiture, and shall notwithstanding be
     directed by the court, referee, magistrate or officer
     conducting the inquiry to testify or to produce such book,
     paper or document, he must none the less comply with such
     direction but in such event he shall not thereafter be
     prosecuted or subjected to any penalty or forfeiture for or
     on account of any transaction, matter or thing concerning
     which he was ordered to testify or produce evidence,
     documentary or otherwise, pursuant thereto and no testimony
     so given or produced shall be received against him upon any
     criminal action, suit or proceeding, investigation,
     inquisition or inquiry.

     Provided, however, no person so testifying shall be exempt
     from prosecution or punishment for any perjury committed by
     him in his testimony given as herein provided for, nor shall
     immunity apply to corporations or to the officers as such.


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