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New York regulations

Title 9 Part 4102

Executive Department

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Compiled text through Jul 15, 2022Register checked through July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)

All 5 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4102.1 - Violators

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Dates and status
Compiling agency
Executive Department
Text status
Source receipt
Compiled text through
Jul 15, 2022
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
No later Register activity identified in this check.
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Jun 6, 2026

Any person licensed by the commission or any person violating any of the commission’s rules or regulations shall be liable to the penalties herein provided, unless otherwise limited in and by the rules and regulations of the commission.

9 NYCRR 4102.2 - Attempted violations

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Dates and status
Compiling agency
Executive Department
Text status
Source receipt
Compiled text through
Jul 15, 2022
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
No later Register activity identified in this check.
Source snapshot
Jun 6, 2026

Any attempt to violate any of the rules and regulations of the commission falling short of actual accomplishment, shall constitute an offense and shall be punishable as if consummated.

9 NYCRR 4102.3 - Penalties

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Dates and status
Compiling agency
Executive Department
Text status
Source receipt
Compiled text through
Jul 15, 2022
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
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Source snapshot
Jun 6, 2026
(a)The penalties for violation of the rules of the commission shall be as follows:
(1)denial, revocation or suspension of license;
(2)monetary fines not exceeding $25,000 for each violation;
(3)suspension from one or more activities at one or more tracks;
(4)expulsion from pari-mutuel harness racing in New York State;
(5)forfeiture or return of purses won.
(b)The penalties provided above, where applicable, shall be exacted from all persons, whether licensed by the commission or not.
(c)Penalties for violation of any rule of the commission may be imposed by the commission, the track steward or the judges presiding at each licensed harness race meeting.
(d)Suspension or exclusion of a person shall apply in each instance to the spouse of the person.
(e)Payment of a fine directly or indirectly by a person other than the person upon whom it is imposed is prohibited, and such prohibition applies to the person upon whom the fine is imposed and the person paying said fine.
(f)Where, for violation of any racing rule herein, a penalty is assessed in the form of license suspension for days certain, and the person affected requests a hearing to review said action, and in connection therewith requests the commission to assess a fine in substitution of said penalty of suspension, the commission may, in its discretion, order such substitution, and reinstate the license of said person upon payment of said substituted fine.

9 NYCRR 4102.4 - Unpaid fines

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Dates and status
Compiling agency
Executive Department
Text status
Source receipt
Compiled text through
Jul 15, 2022
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
No later Register activity identified in this check.
Source snapshot
Jun 6, 2026

Where monetary fines have been imposed and remain unpaid, the violator shall be automatically suspended until the fine is paid in full.

9 NYCRR 4102.5 - Financial responsibility

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Dates and status
Compiling agency
Executive Department
Text status
Source receipt
Compiled text through
Jul 15, 2022
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
No later Register activity identified in this check.
Source snapshot
Jun 6, 2026

Any participant who shall accumulate unpaid obligations, or default in obligations, or issue drafts or checks that are dishonored, or payment refused, or otherwise display financial irresponsibility reflecting on his or her experience, character or general fitness shall be subject to refusal, suspension or revocation of license.

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