New York Codes, Rules and Regulations (NYCRR)
Title 11 Part 420
Department of Financial Services
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Source versions current through May 31, 2021 - May 31, 2022 across sections
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11 NYCRR 420.0 - Preamble
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
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- Section source receipt
- Section text
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- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.1 - Purpose and scope
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.2 - Rule of construction
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.3 - Definitions
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.4 - Initial privacy notice to consumers required
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.5 - Annual privacy notice to customers required
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.6 - Information to be included in privacy notices
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.7 - Form of opt out notice to consumers and opt out methods
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.8 - Revised privacy notices
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.9 - Delivery
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.10 - Limits on disclosure of nonpublic personal financial information to nonaffiliated third parties
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.11 - Limits on redisclosure and reuse of nonpublic personal financial information
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.12 - Limits on sharing policy number information for marketing purposes
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.13 - Exception to opt out requirements for disclosure of nonpublic personal financial information for service providers and joint marketing
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.14 - Exceptions to notice and opt out requirements for disclosure of nonpublic personal financial information for processing and servicing transactions
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.15 - Other exceptions to notice and opt out requirements for disclosure of nonpublic personal financial information
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2022
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2022
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.16 - Nondiscrimination regarding opting out
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.17 - When authorization required for disclosure of nonpublic personal health information
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.18 - Authorizations
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.19 - Authorization request delivery
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.20 - Nondiscrimination regarding nonpublic personal health information
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.21 - Relationship to Federal rules
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.22 - Protection of fair credit reporting acts
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.23 - Determined violation
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.24 - Effective date; transition rule
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.
11 NYCRR 420.25 - Appendix A-sample clauses
Related State Register notice: Adopted rule DFS-35-17-00003-A. Published Dec 20, 2017. Notice effective date: Dec 20, 2017.
Source version current through May 31, 2021
Dates and status
- NYCRR title agency
- Department of Financial Services
- Section status
- Section source receipt
- Section text
- Sign in to read this section
- Source version current through
- May 31, 2021
- Related Register notice
- DFS-35-17-00003-A · Adopted rule
- Related notice published
- Dec 20, 2017
- Related notice effective date
- Dec 20, 2017
Current section text is not available here.