New York Codes, Rules and Regulations (NYCRR)

Title 9 Part 4038

Executive Department

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19 sections

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Source versions current through Jul 15, 2022 - Jul 10, 2024 across sections

Sections in this Part carry different compiled dates; each section shows its own.

9 NYCRR 4038.1 - Earlier source heading: Who may make claim

Related State Register notice: Adopted rule SGC-06-24-00004-A. Published Jul 10, 2024. Notice effective date: Jul 10, 2024.

Source version current through Jul 10, 2024

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 10, 2024
Related Register notice
SGC-06-24-00004-A · Adopted rule
Related notice published
Jul 10, 2024
Related notice effective date
Jul 10, 2024

Current section text is not available here.

9 NYCRR 4038.2 - Minimum price for claim

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-42-18-00015-A · Adopted rule
Related notice published
Feb 13, 2019
Related notice effective date
Feb 13, 2019

The minimum price for which a horse may be entered in a claiming race shall not be less than 50 percent of the value of the purse for the race, unless the commission approves a request from an association for a lower minimum price for all or a portion of a race meeting. The commission shall not approve such a request unless such association has implemented increased measures to ensure close examination of the competitiveness, soundness and safety of each horse entered in such race.

9 NYCRR 4038.3 - Earlier source heading: Conditions for starting claimed horse

Related State Register notice: Adopted rule SGC-06-24-00004-A. Published Jul 10, 2024. Notice effective date: Jul 10, 2024.

Source version current through Jul 10, 2024

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 10, 2024
Related Register notice
SGC-06-24-00004-A · Adopted rule
Related notice published
Jul 10, 2024
Related notice effective date
Jul 10, 2024

Current section text is not available here.

9 NYCRR 4038.4 - Earlier source heading: Sale, transfer restricted

Related State Register notice: Adopted rule SGC-06-24-00004-A. Published Jul 10, 2024. Notice effective date: Jul 10, 2024.

Source version current through Jul 10, 2024

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 10, 2024
Related Register notice
SGC-06-24-00004-A · Adopted rule
Related notice published
Jul 10, 2024
Related notice effective date
Jul 10, 2024

Current section text is not available here.

9 NYCRR 4038.5 - Earlier source heading: Requirements for claim; determination by stewards

Related State Register notice: Adopted rule SGC-40-22-00010-A. Published Dec 28, 2022. Notice effective date: Dec 28, 2022.

Source version current through Dec 28, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Dec 28, 2022
Related Register notice
SGC-40-22-00010-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Current section text is not available here.

9 NYCRR 4038.6 - Earlier source heading: Opening of sealed claim

Related State Register notice: Adopted rule SGC-40-22-00010-A. Published Dec 28, 2022. Notice effective date: Dec 28, 2022.

Source version current through Dec 28, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Dec 28, 2022
Related Register notice
SGC-40-22-00010-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Current section text is not available here.

9 NYCRR 4038.7 - Earlier source heading: Limitations on claims

Related State Register notice: Adopted rule SGC-40-22-00010-A. Published Dec 28, 2022. Notice effective date: Dec 28, 2022.

Source version current through Dec 28, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Dec 28, 2022
Related Register notice
SGC-40-22-00010-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Current section text is not available here.

9 NYCRR 4038.8 - Person for whom horse runs

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Executive Department
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Source version current through
Jul 15, 2022

Each horse shall run for the account of the person in whose name it starts.

9 NYCRR 4038.9 - Claim irrevocable when filed

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Executive Department
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Source version current through
Jul 15, 2022

When a claim has been filed with the racing secretary, it is irrevocable and is at the risk of the claimant.

9 NYCRR 4038.10 - In case of dead heat

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Executive Department
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Source version current through
Jul 15, 2022

In case of a dead heat, each of the dividing horses is the winner for the purpose of this Part.

9 NYCRR 4038.11 - Earlier source heading: Collusive claiming punished

Related State Register notice: Adopted rule SGC-40-22-00010-A. Published Dec 28, 2022. Notice effective date: Dec 28, 2022.

Source version current through Dec 28, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Dec 28, 2022
Related Register notice
SGC-40-22-00010-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Current section text is not available here.

9 NYCRR 4038.12 - Effect of walking over

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Executive Department
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Source version current through
Jul 15, 2022

A horse's liability to be claimed is not affected by its walking over.

9 NYCRR 4038.13 - Delivery on written order

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Executive Department
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Section source receipt
Source version current through
Jul 15, 2022

No horse shall be delivered except on a written order from the racing secretary or the racing secretary’s designee.

9 NYCRR 4038.14 - Refusal to deliver

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Executive Department
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Source version current through
Jul 15, 2022

Any person refusing to deliver a claimed horse shall be suspended and such person’s case referred to the commission. The horse is disqualified until the horse is delivered to the purchaser.

9 NYCRR 4038.15 - Earlier source heading: Intimidation, collusion

Related State Register notice: Adopted rule SGC-40-22-00010-A. Published Dec 28, 2022. Notice effective date: Dec 28, 2022.

Source version current through Dec 28, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Dec 28, 2022
Related Register notice
SGC-40-22-00010-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Current section text is not available here.

9 NYCRR 4038.16 - Stewards' certificate to claim

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

An owner whose stable has been eliminated by claiming or by fire or other hazards shall have the right to claim during the remainder of the meeting at which such stable was eliminated, or for the next 30 racing days of that racing association, whichever period is longer. If the 30-day period should extend into the next succeeding meeting of that racing association, the owner must obtain a certificate from the stewards of the meeting at which such owner lost his or her last horse. The owner must present this certificate when filing a claim at the next meeting.

9 NYCRR 4038.17 - Earlier source heading: Horses claimed-testing and post-race examination

Related State Register notice: Adopted rule SGC-40-22-00010-A. Published Dec 28, 2022. Notice effective date: Dec 28, 2022.

Source version current through Dec 28, 2022

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Dec 28, 2022
Related Register notice
SGC-40-22-00010-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Current section text is not available here.

9 NYCRR 4038.18 - Pregnant mare-disclosure prior to entry in a claiming race

Source version current through Jul 15, 2022

Later State Register activity may affect this section.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022

It shall be the responsibility of the trainer to disclose the pregnancy of any mare to the racing secretary with the entry of that mare in any claiming race. The racing secretary shall cause such fact to be prominently displayed in the entry room prior to any subsequent start.

9 NYCRR 4038.19 - Certain voidable claims

Source version current through Jul 15, 2022

A matched Register action is not later than the compiled-text reference date.

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Jul 15, 2022
Related Register notice
SGC-23-16-00006-A · Adopted rule
Related notice published
Aug 10, 2016
Related notice effective date
Aug 10, 2016
(a)Race-day positive.

Should the analysis of a race-day blood or urine sample taken from a claimed horse result in a race-day positive test, or if the race-day test results of a previous race have not been cleared by the date of the claim and result in a positive test, the claimant's trainer shall be promptly notified by the stewards and the claimant shall have the option to void said claim within five days of such notice by such trainer. An election to void a claim shall be submitted in writing to the stewards by the claimant or the claimant’s trainer. In the event the claim is voided, the horse shall be returned to the owner of the horse who subjected the horse to claiming in the race from which the positive test resulted.

(b)Erythropoietin and darbepoetin.

Should the analysis of a post-race blood or urine sample taken from a claimed horse result in a finding by the laboratory that the antibody of erythropoietin or darbepoetin was present in the sample taken from that horse, the claimant's trainer shall be promptly notified in writing by the stewards and the claimant shall have the option to void said claim within five days of receipt of such notice by his or her trainer. An election to void a claim shall be submitted in writing to the stewards by the claimant or the claimant’s trainer.

(c)Reserpine and fluphenazine.

Notwithstanding any inconsistent provision of Part 4043 of this Title, should the analysis of a post-race blood or urine sample taken from a claimed horse result in a finding by the laboratory that the drug reserpine or the drug fluphenazine was present in the sample taken from that horse, the claimant's trainer shall be promptly notified in writing by the stewards and the claimant shall have the option to void said claim within five days of receipt of such notice by the claimant’s trainer. An election to void a claim shall be submitted in writing to the stewards by the claimant or the claimant’s trainer.

(d)Upper neurectomy or unreported lower neurectomy.

Where an upper neurectomy as defined in section 4025.31(a) of this Article or a lower neurectomy that has not been reported, as required in section 4025.31(b) of this Article has been performed on a horse prior to the race in which it is claimed, the claimant shall have the option to void said claim upon written notice to the stewards from the claimant or the claimant’s trainer given within 10 days following the date of the claim.

(e)Undeclared pregnant mare.

Where a pregnant mare has been claimed which pregnancy has not been disclosed as required in section 4038.17 of this Part, the claimant shall have the option to void the claim upon written notice to the stewards from the claimant or the claimant’s trainer within 10 days following the date of the claim.

(f)Misrepresentation of age or sex.

Where a horse has been claimed and the age or sex of the animal has been misrepresented in the racing program, the claimant shall have the option to void the claim upon written notice to the stewards from the claimant or the claimant’s trainer within 10 days following the date of the claim.

(g)Excess TCO2 levels.

In the event that a claimed horse tests in violation of section 4043.8 of this Article, and it is not determined that such TCO2 level is physiologically natural for that particular horse, the claimant or the claimant’s trainer shall have the option to void the claim upon written notice to the stewards within five days of receiving notice of the violation.

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