New York Codes, Rules and Regulations (NYCRR)

Title 9 Part 4108

Executive Department

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Source version current through Jul 15, 2022

All 9 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4108.1 - Eligibility

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Jul 15, 2022

For purposes of eligibility, a racing season or racing year shall be the calendar year. In recording winnings, gross winnings will be used and odd cents will be dropped and disregarded.

9 NYCRR 4108.2 - Classified races

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(a)Classification by racing secretary.

The racing secretary, according to the racing secretary’s judgment, shall assign horses eligible for classification by gait to not more than the following classes based upon ability as demonstrated by past performances: FFA (Free-For-All), JFA (Junior-Free-All), AA, A, B, C, D, and where feasible, into not more than three subclasses designated by number within classes AA, A, B, C, and D. Such assignment shall be made when a horse is first accepted for racing at the track and all such assignments and changes thereof shall be posted in the declaration room.

(b)Races to be based on class.

Races shall be offered based upon such classes and where applicable subclasses, and shall be confined to horses posted in the same or slower class or subclass at the time of declaration with preference being given to horses posted in the advertised class or subclass. Starters shall be determined by lot. A race may be conditioned for two or more classes or subclasses, in which case it shall be deemed a handicap race and post positions shall be drawn by class or subclass with the slower class or subclass nearer the rail.

(c)Eligibility for classification.
(1)A horse four years or older is eligible for classification. (2) A two- or three-year-old horse may be classified only if it has won three purse races, each for a purse exceeding $450, or two wins and two seconds in such races, or if it has been previously classified, or if the owner or trainer thereof requests in writing that the horse be classified. However such request may be denied by the racing secretary. When a two- or three-year-old horse first becomes eligible for classification it may not be classified higher than C.
(d)Changes in classification.

A horse may be advanced or moved back to any class or subclass if the horse's performance in the judgment of the racing secretary, demonstrates that it should be so moved to be properly classified, except that a two-or three-year-old horse may not be advanced to a higher class through AA for the first time until it shall have had at least two starts in the next lower class.

(e)Basis of classification.

Classification and changes in classification shall be based upon all performances of a horse, both classified and nonclassified, after it has become eligible for classification. Classification at other tracks may be disregarded. In classifying a two- or three- year-old horse all starts of such horse after it would have become eligible for classified racing shall be considered as having been made in classified races at the present track. Double dashes and any heat racing shall be considered as one race.

(f)Preferred races barred.

Preferred races may not be conducted in conjunction with classified races but one invitational race per week at each gait may be conducted for the fastest horses at the meeting.

9 NYCRR 4108.3 - Time bars prohibited

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No time bars shall be used as an element of classification.

9 NYCRR 4108.4 - Time of eligibility

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Horses must be eligible when entries close, but winnings on closing date of eligibility shall not be considered. In mixed races, trotting and pacing, a horse must be eligible under the conditions for the gait at which it is stated in the entry the horse will perform.

9 NYCRR 4108.5 - Two-year-old distances; heats

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No two-year-old shall be permitted to start in any dash, heat or race exceeding one mile, nor shall a two-year-old be permitted to start in more than two heats, dashes, or races in any single day.

9 NYCRR 4108.6 - Time to post overnight conditions

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Conditions for races shall be posted in the declaration room at least 25 hours before the closing of declarations thereto, except where conditions for three successive days racing are posted in which event such conditions shall be posted at least 18 hours prior to the closing of declarations to the first of such three days' conditions.

9 NYCRR 4108.7 - Maiden status

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Races awarded after the “official” sign has been posted shall not affect the status of a maiden.

9 NYCRR 4108.8 - Types of races to be offered

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

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Related Register notice
SGC-40-15-00003-A · Adopted rule
Related notice published
Dec 9, 2015
Related notice effective date
Dec 9, 2015
(a)In presenting a program of racing, the racing secretary shall use the following types of races only:
(1)stakes and futurities;
(2)early closing events;
(3)overnight events:
(i)conditioned races;
(ii)claiming races;
(iii)preferred races limited to the fastest horses at the meeting. These may be open races, free-for-all races, invitational races, conditioned races. Horses to be eligible in such races shall be posted in the declaration room, and listed with the presiding judge. Horses so listed shall not be eligible to conditioned races unless such conditions specifically include horses on the preferred list. Not more than 12 such preferred races may be conducted during a racing week. Purses offered for such preferred races shall be at least 25 percent higher than the highest purse offered for other conditioned races or letter class races scheduled the same racing week. A two or three year old horse may not be used in such races, without the consent of the owner, unless such horse has won three races at the track during the year or has lifetime earnings of $15,000;
(iv)classified races but only with the express written permission of the commission and only if the track offers and schedules sufficient claiming races to give those horses authorized for claiming races and intended to be so raced an equal opportunity to race; and
(v)invitational races for two- or three-year-olds.
(b)Notwithstanding any preference requirements set forth in section 4108.9 of this Part and section 4111.9(a) of this Title, the racing secretary may offer condition races or claiming races that limit entries only to horses that have competed at licensed New York State tracks for the majority of their most recent starts. The racing secretary may establish the limitation for each race. The limitation shall not exceed 75 percent of the most recent starts for an individual race. At least one race must be carded in the same class without the New York limitation on the same or the next race date for each race that is carded with the New York limitation.
(c)Notwithstanding any preference date requirements set forth in section 4108.9 of this Part and section 4111.9(a) of this Title, the racing secretary may offer condition races or claiming races that limit entries only to New York-bred horses, pursuant to section 307-a of the Racing, Pari-Mutuel Wagering and Breeding Law.

9 NYCRR 4108.9 - General procedure

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(a)For all overnight races other than invitational races the starters shall be determined by lot from those properly declared in with preference. The names of all horses declared shall be posted by race with preference dates. However, where necessary to fill a card, one conditioned race per day may be divided into two divisions and the divisions may be selected by the racing secretary.
(b)For all races other than handicap races the post positions of all starters and also eligibles shall be drawn by lot.
(c)A substitute race may be provided for each day's program and shall be so designated. The substitute race shall be used only if regularly scheduled races fail to fill and if a regularly scheduled race is not divided. No substitute or other race may be used as part of the next program.
(d)A fair and reasonable racing opportunity shall be afforded all horses and conditions shall not be written in such a way that any horse is deprived of a fair opportunity to race.
(e)The name of each horse at the track ready to race shall be posted by gait in the declaration room together with all pertinent information concerning such horse which may be required to determine eligibility of such horse to races at the track. The names of horses invited to invitational races shall be posted at least 18 hours prior to the close of declarations.
(f)
(1)Handicap races are permitted where provided for in the published condition book and in conformity with such conditions with post positions determined according to the relative standings within such conditions (including claiming prices). No time records or bars shall be used as a condition.
(2)Handicap races are permitted for preferred races or for invitational races. In such races all post positions may be assigned by the racing secretary if the horses are invited and the names of the invited horses and their post positions are posted in the declaration room at least 18 hours prior to closing of declarations thereto.
(g)In an overnight race the racing secretary, with the approval of the presiding judge, may reject the declaration of any horse which has a past performance indicating that it is below the competitive level of the other horses declared providing such rejection does not result in cancellation of the race.

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