New York regulations

Title 9 Part 4111

Executive Department

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35 sections

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

All 35 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4111.1 - Form of declaration

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Jun 6, 2026

All declarations must:

(a)be made in writing on forms approved by the commission;
(b)state name of horse;
(c)name the driver and such driver’s colors or state “no driver” if none is yet contracted;
(d)name the event or events in which the horse is to start;
(e)give date of declaration and date of race;
(f)name the owner, training stable and trainer;
(g)be signed by the owner or the owner’s authorized agent, or upon satisfaction of the requirements of section 4111.34 of this Part by the racing secretary;
(h)state if pacer is racing without hopples; and
(i)denote the use of furosemide on the entry form of horses eligible for the administration of furosemide pursuant to section 4120.2(b) of this Title.

9 NYCRR 4111.2 - Declaration by mail

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Jun 6, 2026

Declarations for any race may be accepted if made by mail or telegraph and deposited in the declaration box prior to the time prescribed for closing declarations. Such declaration must set forth the information required in section 4111.1 of this Part. Every owner bears the risk of ineligibility caused by noncompliance with the declaration requirements by any agency selected to make or forward declarations.

9 NYCRR 4111.3 - Misrepresentation in declaration

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Jun 6, 2026

A misrepresentation, error or omission made in a declaration may void the declaration and the person or persons responsible therefor shall be subject to the penalties prescribed by this Subchapter.

9 NYCRR 4111.4 - Declaration fee

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Jun 6, 2026

The fee for nomination or declaration shall be fixed by the licensed association and shall be published in the conditions of the race.

9 NYCRR 4111.5 - Declaration box

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Jun 6, 2026

At all tracks the management shall provide a locked declaration box with openings through which declaration slips may be deposited. Declarations shall close at 9 a.m. and such box shall not be opened until thereafter unless otherwise specified in the conditions, or unless another hour is approved by the commission.

9 NYCRR 4111.6 - Closing of declarations

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Jun 6, 2026

All declarations for overnight events shall be closed not less than 18 hours, and not more than four racing days, prior to the date on which the race is scheduled. For overnights, stakes and all other races a change in the ownership or training of a horse drawn to start is prohibited and in the event such prohibited change occurs the horse shall be scratched and the parties responsible therefor shall be subject to fine or suspension.

9 NYCRR 4111.7 - General procedures and restrictions

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(a)At the closing time prescribed, the presiding judge shall unlock the box, list the declarations in writing according to race, and deliver them to the racing secretary.
(b)The racing secretary shall ascertain eligibility, preference, and racing status of the horses declared and determines the starting field of each race in accordance with the rules.
(c)Declarations to start a horse that is scheduled to start in any other race (except as also eligible) may only be accepted by permission of the presiding judge. Such permission shall not be given, however, when such horse is scheduled to start in a claiming race. In no event may a horse start in more than one race per day.
(d)Declarations to start a horse for which an eligibility certificate is not on file at the track may only be accepted by permission of the presiding judge.
(e)The presiding judge shall supervise the drawing of post positions in the presence of such owners, drivers and trainers as may appear.

9 NYCRR 4111.8 - Minimum starters in overnight events

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Jun 6, 2026

In overnight events eight eligible starters from different interests may be required by the track before post positions are drawn.

9 NYCRR 4111.9 - Preference

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(a)Preference shall be given in all overnight purse races according to a horse's last previous purse race during the current year, but a horse of the classification offered shall in all events be preferred over horses of slower classification. The preference date on a horse that has been drawn to a race and been scratched is the date of the race from which the horse was scratched. In order to insure proper diversification of racing fields in classes having less than 25 horses available for competition, the racing secretary may consider two consecutive race dates in the class of equal preference.
(b)When a horse is declared to race for the first time in any year, the date of its prerequisite qualifying race, if any, or otherwise of its first such declaration shall be considered its last race date and preference shall be applied accordingly.
(c)A horse that has last raced at a fair meeting shall carry the preference date of such fair race.

9 NYCRR 4111.10 - Reopening of declaration box

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Jun 6, 2026
(a)If the requisite number of starters in any overnight race is not found at the time declarations close and it is desirable to extend the time for declaration, the presiding judge may authorize the reopening of the race at a definite later hour and such reopening shall be announced over the public address system at least twice before such time. If thereafter there are still not found the requisite number of starters, the presiding judge may authorize such race to be reconditioned and reopen declarations thereto as above. When such race is reconditioned however, original declarations may not be used if expressly withdrawn prior to the closing time for new declarations.
(b)Notwithstanding this section, no horse may be moved up or down in class or group after declarations have initially closed for the day under section 4111.5 of this Part.
(c)Notwithstanding section 4111.9 of this Part, horses originally declared shall have preference over horses subsequently declared to a race which has been reopened or reconditioned.
(d)Whenever a race is reopened or reconditioned, declarations thereto shall be deposited only in a locked box for such purpose in the declaration room and said box may not be opened until the designated closing time and may only be opened by the presiding judge.

9 NYCRR 4111.11 - Also eligibles

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Jun 6, 2026
(a)In addition to the requisite number of starters, not more than two additional horses may be selected by the racing secretary as also eligibles for a race. Also eligibles shall draw priority to race at the same time the post positions for starters are drawn.
(b)No other horses shall be added to a race after post positions have been drawn.
(c)Scratch time shall be not later than 9:00 a.m. of the day of the race. Horses listed as also eligible may be held for use in the race to which they are so listed not more than 30 minutes after scratch time for the race and if not added to start in the race by that time they shall be released.
(d)If any horse or horses, drawn to start in a race be excused therefrom by the presiding judge, the also eligible horses, in the order of their priority, may be added to the race. They shall race from the post position of the horse replaced, except in handicap races including horses of several classes and claiming races in which post position is related to claiming price when they shall race from the most outside position of their class or price or if the horse replaced is of a different class or price.
(e)Upon the addition of an also eligible to the race, notice thereof shall be given to the owner or trainer of such horse and notice thereof shall be posted on the bulletin commission at the racing secretary's office.

9 NYCRR 4111.12 - Programming of drivers

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(a)Drivers may be nominated or changed after declaration by an owner or the owner’s agent or trainer until “programming time,” the day and time established by the presiding judge at the beginning of the meeting and posted in the declaration room. At programming time it shall be the responsibility of the trainer to make any nomination or change necessary to complete the program after which such nominations or changes shall be made by the judges. Failure to make a necessary nomination or change by programming time shall subject the trainer to fine and/or suspension.
(b)After programming time, but before wagering has begun on the horse, if the programmed driver is unable to drive or has not reported to the paddock judge at least 10 minutes before such wagering has begun, the judges shall substitute another driver therefor, if feasible.
(c)
(1)After wagering has begun on a horse, if its programmed driver is unable to drive the horse shall be scratched unless:
(i)the race is an early closing event or stake;
(ii)the driver is unable to compete because of injuries suffered in a previous race on the same program; or
(iii)the judges believe a scratch of the horse will not be in the public interest.
(2)In the circumstances enumerated herein the judge may appoint a substitute driver.
(d)Compensation for an assigned or substitute driver may be fixed by the judges.

9 NYCRR 4111.13 - Judge's scratch

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Jun 6, 2026

After declarations to a race have closed no horse may be withdrawn except by permission of the presiding judge. The presiding judge acting on personal knowledge, belief or discretion may order a horse scratched from a race at any time prior to the actual start of the race, if the presiding judge has reasonable grounds to believe that any rules have been violated by any person connected with such horse.

9 NYCRR 4111.14 - Declarations-omissions, deletions, errors

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Jun 6, 2026
(a)Once drawn, post positions in stakes or early and late closing events shall be final, unless there is evidence satisfactory to the presiding judge that a horse was properly declared and has been omitted from the race through the error of either the track or its agent or employee. In such event, if the error is discovered prior to scratch time or the printing of the program, whichever is sooner, the horse shall be added to the race, and post positions therefore shall be redrawn. If such race has been divided however, the additional horse shall be added to the division determined by the presiding judge and only the post positions in such division shall be redrawn.
(b)The provisions of this rule shall not apply to overnight events.

9 NYCRR 4111.15 - Coupling of entries

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Latest notice
SGC-22-16-00005-A · Adopted rule · Aug 10, 2016
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Jun 6, 2026
(a)In all races starters shall be coupled when owned in whole or in part or under the control of, or trained by the same person, or trained in the same stable or by the same management, or where, in the discretion of the judges, it is necessary to protect the public interest. A horse to be driven by a full-time employee of another driver in the race shall be considered as racing from the same stable. If a race is divided into two or more divisions, such starters shall be seeded into separate divisions where possible, first on the basis of ownership and by stable, then on the basis of training. The divisions in which they compete and their post positions shall be drawn by lot. Whenever such horses are coupled in the same race, the presiding judge shall approve the second and additional drivers.
(1)Except for stakes races with a purse of $25,000 or more, horses trained by the same trainer but owned by different, separate owners may be uncoupled. The presiding judge has the discretion to couple such horses, however, to protect the interests of the wagering public. Trainers with an ownership interest in more than one horse must have their horses coupled.
(2)Except for stakes races with a purse of $100,000 or more, horses with common ownership may be uncoupled. The presiding judge has the discretion to couple such horses, however, to protect the interests of the wagering public.
(b)Except by express permission of the commission, coupled entries are prohibited in overnight events.
(c)After post positions have been drawn, horses may be coupled as an entry (or uncoupled, if erroneously coupled) but such race, as divided and as post positions have been drawn, shall be final.

9 NYCRR 4111.16 - Coupled entries, wagers on

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Jun 6, 2026

A wager on one horse of a coupled entry shall be a wager on all of that entry.

9 NYCRR 4111.17 - Racing after scratch

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Jun 6, 2026

No horse, having previously been scratched from a race on certification of unfitness by the State veterinarian, may be accepted for racing at a licensed harness race track unless the State veterinarian certifies that such horse is currently fit to race.

9 NYCRR 4111.18 - Nomination in early closing events, stakes and futurities

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Jun 6, 2026

All nominations not actually received at the hour of closing shall be ineligible, except those by letter bearing postmark not later than noon of the following day (omitting Sunday) or entries notified by telegraph, the telegram to be actually received at the office of sending at or before the hour of closing, such telegram to state the color, sex, and name of the horse, the class to be entered; also to give the name and residence of the owner and the party making entry. Whenever a nomination or payment in a stake, futurity, or early closing race becomes payable on a Sunday or a legal holiday that falls on Saturday, such payment is to be due on the following Monday and if made by mail the envelope must be postmarked on or before noon of the following Tuesday. If a payment falls on a Monday that is a legal holiday, such payment is due on Tuesday, and if made by mail must be postmarked on or before noon of the following Wednesday.

9 NYCRR 4111.19 - Void entries

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Jun 6, 2026

All entries not governed by published conditions shall be void and no deviation from such published conditions shall be permitted. Any nominator who is allowed privileges not in accordance with the published conditions of the race, or that are in conflict with this Subchapter, shall be debarred from winning any portion of the purse.

9 NYCRR 4111.20 - Nominator's guarantee

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Jun 6, 2026

A nominator is presumed to guarantee the identity, eligibility and accuracy, of his or her nominations and declarations and if given incorrectly such nominator may be deemed guilty of a violation of this Subchapter and any winning shall be forfeited and redistributed to eligible entries. A person obtaining a purse or money through fraud or error shall surrender or pay the same to the racing association conducting the meeting and such purse or money shall be awarded to the party justly entitled to the same. However, where an ineligible horse races as a result of the fault of the racing secretary, the track shall reimburse the owner for the resultant loss of winnings.

9 NYCRR 4111.21 - Transfer to eligible class

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Jun 6, 2026

A horse entered in a class to which such horse is ineligible may be transferred to any event to which he is eligible at the same gait.

9 NYCRR 4111.22 - Engagements continue

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Jun 6, 2026

Unless otherwise provided in the conditions, a horse eligible to a stake or early closing event does not lose its eligibility through transfer of ownership if such transfer occurs prior to the close of declarations. A horse does not lose its eligibility through death of the nominator whether such occurs before or after close of declarations.

9 NYCRR 4111.23 - Conditions and payments in early closing events and stakes

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(a)Approval.

The proposed offering of and the conditions for each early closing event and stakes shall be submitted to the commission for approval not less than 20 days before advertising, and shall not be advertised before approval.

(b)Conditions.

The proposed conditions shall include the place where the race is to be conducted, the conditions of eligibility, distance, amount of payments and due dates, the amount the sponsor will add to the purse, and, if the event is to be raced during the current year, the date of the race and the date and time for making declarations thereto.

(c)Payment dates.
(1)Starting payments shall fall due at declaration time and accompany declarations.
(2)Nomination payments shall fall due on the 15th day of any month and in stakes may not fall due later than August 15th.
(3)All other payments shall fall due on the 15th day of any month other than September, October, November, December, and, except in the case of New York State Sires Stakes, January.
(d)Number of payments.
(1)Only a nomination payment may be required for a horse before it is two years old.
(2)Only one payment may be required of a two-year-old if there is no two-year-old division to be raced.
(3)Not more than two payments exclusive of starting payment may be required in any year for any horse.
(e)Lists of eligibles.

A complete list of nominations and remaining eligibles after each payment date shall be filed with the commission within 30 days after such nomination or payment date. The most recent list shall also be mailed upon request to any nominator or eligible owner prior to any payment date and must be mailed to the owners of all horses eligible for declaration within 20 days after the payment date immediately preceding declaration date.

(f)Cancellation.

A sponsor may cancel any early closing event or stake within 10 days after nomination. In such event immediate notice shall be given to the commission and any nominators affected, and nomination fees shall be refunded. After such time stakes and early closers may not be cancelled except as elsewhere provided by these rules or by the conditions.

9 NYCRR 4111.24 - Change of gait

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Jun 6, 2026
(a)Unless conditions published for early closing events provide otherwise, transfers for change of gait shall be to the slowest class the horse is eligible to at the adopted gait, eligibility to be determined at time of closing entries, the race to which transfer may be made must be the race nearest the date of the event originally entered.
(b)Two-year-olds, three-year-olds or four-year-olds, entered in classes for their age, may only transfer to classes for the same age group at the adopted gait to the race nearest the date of event originally entered.

9 NYCRR 4111.25 - Withdrawals

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Jun 6, 2026

Where subsequent payments are required, a complete list of those withdrawn or declared out shall be made within 15 days after payment was due and the list filed with the commission and mailed to every nominator.

9 NYCRR 4111.26 - Segregation of fees

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Jun 6, 2026

All fees paid in added money events, early closing events, stakes and futurities shall be segregated and held as trust funds until the event is contested. Proof of such segregation by bank letter or bank statement shall be submitted to the commission.

9 NYCRR 4111.27 - Stabling

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Jun 6, 2026

A horse accepted to start in any purse race shall be offered stable space on the grounds of the track, from 6 p.m. the day before until noon the day after such race, and such horse must be on the grounds at least 24 hours before its race in order to be available for examination by the State veterinarian, except where such horse is stabled elsewhere with the approval of the presiding judge, in which case the horse shall be available for such examination under conditions prescribed by the presiding judge.

9 NYCRR 4111.28 - Limitations on conditions

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Jun 6, 2026

Conditions of early closing events that will eliminate horses nominated or add horses that have not been nominated by reason of the performance of such horses at an earlier meeting held the same season are invalid. Early closing events shall not have more than two also eligible conditions. No condition which has the effect of backing up a horse four or more classes shall be permitted.

9 NYCRR 4111.29 - Proportion of entry fees to purse

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Jun 6, 2026

In early closing races, late closing races, and overnight races requiring entry fees, all monies paid in by the nominators in excess of 85 percent of the advertised purse shall be added to the purse. In addition to adding excess entry fees as provided above, the sponsor shall contribute at least 15 percent to the advertised purses of late closing races and overnight races. At least 15 percent of all monies paid in by the nominators shall be contributed to all early closing races by the sponsor. Where a race is split into divisions each division shall have a purse.

9 NYCRR 4111.30 - Declaration by person suspended

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Jun 6, 2026

Declaration shall not be filed for any horse owned or controlled wholly or in part by a person who does not hold a license issued by the commission, or whose license has been fully suspended or revoked.

9 NYCRR 4111.31 - Fraudulent transfer of horse

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Jun 6, 2026
(a)The transfer of a horse by any person or persons under suspension, unless to a bona fide owner for a valuable consideration accompanied by the transfer of all control over such horse, shall be deemed fraudulent and an effort to circumvent said suspension. All parties thereto shall be subject to the penalties of this Subchapter.
(b)Anyone transferring any ownership interest in a horse after the commission's refusal to license such person or suspending or revoking such person’s license shall be prohibited from thereafter regaining any ownership interest in said horse.

9 NYCRR 4111.32 - Withholding of purse

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Jun 6, 2026

A licensed harness race track shall be warranted in withholding the premium or purse of any horse, if information establishes that the declaration of any horse was fraudulent or that the horse was ineligible. Such premium shall be withheld by the licensed harness race track pending decision of the commission concerning such fraud or ineligibility.

9 NYCRR 4111.33 - Date of events

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Dates and status
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Executive Department
Text status
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Compiled text through
Jul 15, 2022
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
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Jun 6, 2026

Before taking a nominating payment to an early closing event, or any sustaining payment to a stake during the year the stake is to be contested, the week and place of the race shall be announced and properly advertised by the stake sponsor.

9 NYCRR 4111.34 - Declarations by racing secretary

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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

A racing secretary may declare a horse to race provided such racing secretary has been specifically so requested by a person known to such racing secretary to be authorized to make the declaration. To complete such declaration, the racing secretary must deposit it in the declaration box prior to the closing time for declarations with an attached form signed by such racing secretary certifying that such racing secretary was so requested, the time of such request, by what means the request was made, and that such racing secretary knows the person so requesting was authorized to make such request. The request must relate to a specific race and may not be general in nature.

9 NYCRR 4111.35 - Authorized agents

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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

Except as provided in section 4111.34 of this Part, no person or organization may be the authorized agent for more than one owner for the purpose of declaring a horse or horses in a race unless the person acting as authorized agent is the trainer of record for the horse or horses being declared.

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