New York regulations
Title 13 Part 97
Department of Law
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13 NYCRR 97.1 - Procedures applicable to administrative proceedings commenced by the Attorney General pursuant to article 7-A section 177
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- Department of Law
- Text status
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)Violations under the Attorney General's administrative jurisdiction.
Upon a finding by the Attorney General that any person has committed or is committing a violation of article 7-A, by engaging in activities prohibited under section 172-d that are subject to the administrative remedies of section 177, or by failing to comply with the reporting requirements set forth in section 172-b, the Attorney General may impose the administrative remedies listed in section 97.2 of this Part.
13 NYCRR 97.2 - Remedies in Attorney General's administrative proceeding
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- Department of Law
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- Jan 15, 2026
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(a)Upon a finding of a violation of article 7-A, the Attorney General may:
(1)revoke, suspend or deny a registration of a charitable organization, professional fund raiser, professional solicitor or fund raising counsel or issue an order directing a charitable organization, professional fund raiser, professional solicitor or fund raising counsel to cease and desist specified fund raising activities; and
(2)assess a civil penalty in an amount authorized by article 7-A section 177.
13 NYCRR 97.3 - Notice of violation
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- Department of Law
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(a)The Attorney General shall, before revoking, suspending or denying any registration or exemption, or issuing a cease and desist order, or assessing a civil penalty, notify the respondent in writing and provide an opportunity for a hearing in accordance with article 7-A section 177 and this Chapter.
(b)The notice shall consist of a statement of the charges and shall be served by personal delivery or by registered or certified mail to the last known business address of the respondent.
(c)If, within 30 days of the date of mailing of the notice of violation, the violation is cured, the respondent may be entitled to waiver of any civil penalty, as provided under article 7-A section 177.2(b).
13 NYCRR 97.4 - Requests for hearings
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- Department of Law
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- Jan 15, 2026
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(a)Hearings shall be conducted in accordance with articles three and five of the New York State Administrative Procedure Act (SAPA) and in accordance with 19 NYCRR Part 400.
(b)A hearing must be requested within 20 days after receipt of notice from the Attorney General.
(c)A hearing shall take place within 30 days of the receipt of the request by the Attorney General.
(d)Should the respondent not request a hearing, the Attorney General may impose the administrative remedies described in section 97.2 of this Part.
13 NYCRR 97.5 - Notice of hearing
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- Department of Law
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(a)A hearing shall be held at a time and place designated by the Attorney General.
(b)The Attorney General shall notify the respondent in writing of the time and place of the hearing. The notice may be served by personal delivery or by registered or certified mail to its last known business address.
(c)Every notice of hearing shall be served with a copy of articles three and five of SAPA, 19 NYCRR Part 400 and this Chapter.
(d)The notice shall include:
(1)a statement of the time, place and nature of the hearing;
(2)a statement of the legal authority and jurisdiction for the hearing;
(3)the sections of the statutes or rules and regulations involved;
(4)a statement of the facts asserted; and
(5)a statement that free interpreter services will be made available.
13 NYCRR 97.6 - Administrative hearing officers
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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All hearings shall be conducted by administrative law judges (hearing officers) appointed by the Attorney General or the Attorney General's designee. The hearing officer shall be an attorney who has not worked on or otherwise become familiar with the facts of the matter in issue, and shall exercise his or her judgment independently and impartially.
13 NYCRR 97.7 - Adjournments
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- Department of Law
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- Jan 15, 2026
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(a)Adjournments must be requested by written affidavit sent to the hearing officer no later than three business days before the scheduled date of the hearing. The affidavit should contain sufficient details to explain the reason for the request.
(b)Adjournments will be granted only for good cause.
(c)No more than two adjournments will be granted.
13 NYCRR 97.8 - Subpoenas
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- Department of Law
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- Jan 15, 2026
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(a)Subpoenas may be issued by the hearing officer, the Attorney General or any attorney for a party who is a member of the New York Bar.
(b)Subpoenas shall be served in accordance with the Civil Practice Law and Rules.
13 NYCRR 97.9 - Conduct of the hearing
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)A hearing officer designated by the Attorney General shall conduct the hearing.
(b)The hearing officer may regulate the conduct of the hearing, require witnesses to attend the hearings, take proof and make relevant factual determinations.
(c)The respondent may appear at the hearing, cross examine witnesses and produce evidence on his or her own behalf. Should the applicant fail to appear at the hearing, the hearing officer shall hear the evidence given by the Attorney General and make his or her findings and recommendations on the basis of that evidence.
(d)The proceeding may be resolved by stipulation, consent order or default of any respondent.
13 NYCRR 97.10 - Representation
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- Department of Law
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- Jan 15, 2026
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Any respondent who requests a hearing or is compelled to appear before the Attorney General has the right to be represented by counsel or a non-lawyer representative.
13 NYCRR 97.11 - Evidence
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)Strict rules of evidence do not apply.
(b)In order to expedite the hearing, the hearing officer may permit all or part of the evidence to be submitted in written form.
(c)The Attorney General shall have the burden of proving the violation by a preponderance of the evidence.
(d)A party has the right to cross examine witnesses.
(e)Objections to evidence may be made and shall be noted in the record.
13 NYCRR 97.12 - Record
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)The hearing officer shall make a complete record of the proceeding by whatever means he or she deems appropriate, including but not limited to, stenographic transcription or recording devices.
(b)The record shall include:
(1)records and documents in the Attorney General's possession relevant to the initial findings under article 7-A;
(2)notices, pleadings, motions and all rulings by the hearing officer;
(3)evidence presented;
(4)questions, offers of proof and objections;
(5)findings of fact and conclusions of law; and
(6)the decision or determination.
(c)If requested, the Attorney General shall prepare the record and any transcript of the proceedings within a reasonable time after the decision, but before the commencement of time for judicial review, and provide a copy to any party.
13 NYCRR 97.13 - Costs
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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The Attorney General may charge for the costs incurred in preparing and providing copies of the record.
13 NYCRR 97.14 - Motions
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)A motion to dismiss the statement of charges for failure of proof may be made at the conclusion of the Attorney General's case.
(b)The hearing officer may:
(1)grant the motion;
(2)deny the motion and continue the hearing; or
(3)reserve making a decision on the motion and continue the hearing.
(c)Denial of the motion by the hearing officer is not appealable because it is not a final decision on the merits.
13 NYCRR 97.15 - Findings of fact
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- Department of Law
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- Jan 15, 2026
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(a)Any party may submit written proposed findings of fact to the hearing officer within the time frames set by the hearing officer. The hearing officer will rule on each finding of fact.
(b)Findings of fact must be based on the evidence.
13 NYCRR 97.16 - Time periods
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- Compiling agency
- Department of Law
- Text status
- Source receipt
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)Every adjudicatory proceeding must be completed within 150 days of the date of the hearing stated in the notice of hearing. A request for an adjournment extends the time period by the length of time the adjournment is granted.
(b)Prior to the expiration date, the Attorney General or the hearing officer may extend the time period for no longer than an additional 120 days by a written determination mailed to all parties that the proceeding cannot be completed within 150 days and the reasons for the extension.
13 NYCRR 97.17 - Final determinations and orders
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- Department of Law
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- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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(a)The hearing officer shall make a final determination within 10 days of the conclusion of the hearing.
(b)The hearing officer shall make his or her determination or order in writing after consideration of the entire record and as supported by substantial evidence. Substantial evidence means such proof as a reasonable person may accept as adequate to support a decision and constitutes a rational basis for the decision.
(c)The determination shall contain findings of fact and conclusions of law or reasons for the decision.
(d)The Attorney General shall serve a copy of such determination or order upon the respondent personally or by registered or certified mail to the last known business address, or to the attorney of record.
(e)The Attorney General shall maintain an index of all final written decisions by name and subject area.
13 NYCRR 97.18 - Stay of the decision or order
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- Compiling agency
- Department of Law
- Text status
- Source receipt
- Compiled text through
- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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- Jun 6, 2026
(a)After the decision and before filing an appeal from the decision, any party may immediately apply to the Attorney General for a stay pending a decision on an appeal.
(b)The application must be in writing, based on evidence in the record and served on opposing parties, who can rebut the application in writing within two business days of receipt.
(c)The Attorney General's designee shall promptly decide the application.
13 NYCRR 97.19 - Administrative appeal from the decision or order
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Dates and status
- Compiling agency
- Department of Law
- Text status
- Source receipt
- Compiled text through
- Jan 15, 2026
- Register checked through
- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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- Jun 6, 2026
(a)Within 30 calendar days of receipt, any of the parties may appeal from the decision or order revoking, suspending or denying any registration or exemption, or issuing a cease and desist order or assessing a civil penalty, by filing with the individual designated by the Attorney General to hear administrative appeals, and serving on the other party or parties, a written memorandum stating the appellant's arguments.
(b)The memorandum should identify the part or parts of the decision to which the appellant is objecting, state the grounds for the objection and identify the portions of the record supporting the objection.
(c)The party served with the appeal may file and serve a memorandum in opposition and a cross-appeal within 30 days after service of the appeal. A response to a cross-appeal may be filed and served within 15 days after service of the cross-appeal.
(d)The record on appeal shall consist of the transcript of the hearing, the evidence admitted at the hearing and the memoranda.
(e)The individual designated by the Attorney General to hear and decide administrative appeals may make a final written determination:
(1)confirming the decision;
(2)vacating the decision with an explanation of the basis for vacating the decision; or
(3)sending the matter back to the hearing officer for further proceedings.
13 NYCRR 97.20 - Judicial appeal from the final administrative determination
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Dates and status
- Compiling agency
- Department of Law
- Text status
- Source receipt
- Compiled text through
- Jan 15, 2026
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- July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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- Jun 6, 2026
Within 120 days after the final determination, a party may appeal from the final determination by commencing a proceeding for judicial review under article 78 of the New York State Civil Practice Law and Rules.