9 NYCRR Part 4040 - Executive Department

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Source version current through Jul 15, 2022

All 10 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4040.1 - Prohibitions-betting, interest in horses

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

(a)No jockey shall bet on any race except through the owner of and on the horse that such jockey rides, and any jockey who shall be proved to the satisfaction of the stewards to have any interest in any race or horse or to have been engaged in any betting transaction except as permitted by this section, or to have received presents from persons other than the owner, may be punished as provided by sections 4022.12 through 4022.15 of this Article.

(b)Any person knowingly acting in the capacity of part owner or trainer of any horse in which a jockey possesses an interest or making any bet with or in behalf of any jockey except as provided in subdivision (a) of this section, or otherwise aiding or abetting in any breach of this Article, may be punished as provided by sections 4022.12 through 4022.15 of this Article.

9 NYCRR 4040.2 - Owning race horses forbidden

Related State Register notice: Adopted rule SGC-13-22-00001-A. Published Jul 20, 2022. Notice effective date: Jul 20, 2022.

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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-13-22-00001-A · Adopted rule
Related notice published: Jul 20, 2022
Related notice effective date: Jul 20, 2022

Current section text is not available here.

9 NYCRR 4040.3 - Riding against starter of contract employer

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

A jockey may not ride in any race against a starter of such jockey’s contract employer unless such jockey’s mount and such jockey’s contract employer's starter are both in the hands of the same trainer.

9 NYCRR 4040.4 - No riding or training if suspended

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Dates and status

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

A jockey or trainer under suspension in any state or foreign country shall not be permitted to train or ride in a race for anyone during the period of such suspension. Any person who shall employee a jockey or trainer in contravention of this section may be punished as provided by sections 4022.12 through 4022.15 of this Article.

9 NYCRR 4040.5 - Contracts to be filed; salary stops on suspension

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

The terms of all contracts between jockeys and their employers shall be filed with and approved by The Jockey Club, and such contracts shall contain a provision that in case a jockey's license be revoked or suspended, the salary of the jockey shall in the former case cease, and in the latter case cease during the time of his suspension.

9 NYCRR 4040.6 - Penalty for refusal to ride

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Dates and status

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

If a jockey engaged for a race or for a specified time refuses to fulfill his or her engagement, such jockey may be punished as provided by sections 4022.12 through 4022.15 of this Article.

9 NYCRR 4040.7 - Retainers on priority basis

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Dates and status

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

Employers retaining the same jockey have precedence according to the priority of the retainers as specified in the contracts.

9 NYCRR 4040.8 - Stewards decide conflicting claims

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Dates and status

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

When a jockey is engaged for a race, such engagement is binding on both parties, and any conflict in such a matter, including claims for the services of a jockey, shall be decided by the stewards.

9 NYCRR 4040.9 - Earlier source heading: [Repealed]

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Dates and status

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

Current section text is not available here.

9 NYCRR 4040.15 - Hiring stable employees

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

(a)No owner or trainer shall engage any person who does not have a written discharge from his or her last employer, but any person prevented by this section from obtaining or retaining employment shall have the right of appeal to the commission against the person withholding his or her written discharge.

(b)Any owner or trainer employing a person in violation of subdivision (a) of this section may be punished as provided by sections 4022.12 through 4022.15 of this Article.

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