Title 9 Part 4117 NYCRR — browse free

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Compiled text through Jul 15, 2022 - Oct 9, 2024 across sectionsRegister checked through July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)

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

9 NYCRR 4117.1 - Drive to finish

Compiled text through Jul 15, 2022

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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

Every race must be contested by every horse in the race and every horse must be driven to the finish.

9 NYCRR 4117.2 - Failure to finish

Compiled text through Jul 15, 2022

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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)If for any cause other than interference a horse fails to finish after starting in a heat or race, that horse shall be ruled out.

(b)A horse finishing without its driver driving shall be disqualified.

(c)Any horse or sulky that shall leave the course, is disqualified and ruled out; except that, in races contested at a track without a continuous hub rail, if, in the opinion of the judges, a horse or sulky is forced off the course as a result of the actions of another horse or driver, or as a result of a break from such horse’s gait, the judges may determine the appropriate order of finish. Any horse or sulky that may partly leave the course shall be disqualified one or more positions, as appropriate, if, in the opinion of the judges, such occurrence has had a material effect on the finish of the race.

9 NYCRR 4117.3 - Use or removal of hopples

Compiled text through Jul 15, 2022

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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.
Latest notice: SGC-22-16-00004-A · Adopted rule · Aug 10, 2016
Source snapshot: Jun 6, 2026

(a)The trainer has discretion on the use of hopples, subject to the judges cancelling any change in the use of hopples on a horse in the exercise of the judges’ discretion to protect the integrity of racing and the wagering public.

(b)The entry of the horse shall state whether such horse will use hopples or not. Failure to include a change on the entry form disallows any addition or subtraction of hopples for the race. Every change in a horse’s use of hopples must be included in the program.

(c)Any person found culpable of removing or altering a horse’s hopples during a race or between races for the purpose of fraud shall be suspended or expelled.

9 NYCRR 4117.4 - Racing violations

Compiled text through Jul 15, 2022

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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

The following shall be deemed racing infractions:

(a)Changing either to the right or the left when another horse is so near as to be caused to shorten stride, or to be taken back, or to break stride.

(b)Jostling, striking or hooking sulky wheels, or interfering with another horse or driver.

(c)Crossing sharply in front of a horse or a field of horses in a reckless manner.

(d)Swerving in and out so as to interfere with another horse.

(e)Taking back quickly in front of a horse or an field of horses so as to cause confusion or interference among the trailing horses.

(f)Crowding a horse or driver or putting a wheel under him.

(g)Needlessly permitting a horse to pass inside.

(h)Carrying a horse out.

(i)Sitting down in front of a horse.

(j)Helping another horse to improve its position in the race.

(k)Impeding the progress of another horse or causing it to break.

(l)After selecting a position in the home stretch, swerving from side to side, or bearing in or out so as to interfere with another horse.

(m)Causing any horse or a field of horses to excessively slow down.

(n)Driving with design not to win, or in a manner inconsistent with an attempt to win.

(o)Driving in a careless or reckless manner.

(p)Driving with indifference or lack of effort.

(q)Loud shouting or other improper conduct.

(r)Crossing the inside limits of the course.

9 NYCRR 4117.5 - Dismissal of drivers

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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)At the conclusion of each race every driver in the race shall return in the sulky to the paddock unless a driver shall have an objection to file. No driver shall leave the paddock until the “official” sign has been posted.

(b)All complaints by drivers of any misconduct or other driving rule violation shall be made to the official designated for such purpose by the presiding judge unless the driver is prevented from doing so by reason of an accident or injury. After making known a desire to enter a claim of foul or other complaint and against whom he or she is lodging such objection, such driver shall immediately go to the paddock and proceed to the telephone to discuss with the judges his or her reasons for making such claim, objection or complaint. The judges shall not cause the “official” sign to be displayed until such claim, objection or complaint is considered.

9 NYCRR 4117.6 - Dismounting

Compiled text through Jul 15, 2022

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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

After the post parade and until the conclusion of the race no driver may dismount needlessly from the sulky without the permission of the starter or a patrol judge. Adjustment of equipment may be done only with the starter's approval.

9 NYCRR 4117.7 - Designation of horses

Compiled text through Jul 15, 2022

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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

Each competing horse shall be equipped with head and saddle numbers of a style, type and design approved by the commission. Coupled entries shall be designated by the same head and saddle number coupled with a letter or letters. Horses coupled in the field shall be designated by the highest consecutive numbers used.

9 NYCRR 4117.8 - Whips, goads and head poles

Compiled text through Oct 9, 2024

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Dates and status

Compiling agency: Executive Department
Text status: Current section with Register check
Compiled text through: Oct 9, 2024
Register checked through: July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status: No later Register activity identified in this check.
Latest notice: SGC-25-24-00003-A · Adopted rule · Oct 9, 2024
Source snapshot: Jun 24, 2026

(a)Whip specifications. A driver is permitted to carry only a black whip that shall not exceed four feet in length, plus a snapper not longer than six inches. No leather or unusual materials may be used. The conventional snapper shall not be knotted. Tape is permitted only on the handle of the whip. All other modifications of the whip are prohibited. (b) Prohibitions on urging. No person shall possess or use any goading device or mechanical or electric device or appliance other than a whip specified in subdivision (a) of this section, either while racing, training or at any other time on the track premises. (c) Allowable urging during a race. A driver may use a whip or the lines only in the conventional manner, in accordance with the following: (1) the driver must keep a line in each hand, except as may be necessary to adjust equipment (i.e., pulling plugs, dropping blinkers, etc.) while racing, training or at any other time when driving a horse on the track premises; (2) lines shall remain reasonably taut during a race; (3) use of the whip shall be restricted to forearm and wrist action only such that a driver's elbows must remain reasonably tucked and not raised above the driver's shoulder. For avoidance of doubt, raising the lines and using the whip with wrist-action only is permissible; (4) a driver is permitted to use the whip to hit the wheel disc or shaft so long as the whip does not interfere with another horse or driver; and (5) a driver is permitted to use a hand or the whip in a sliding, gliding or tapping manner about the level of the arch. (d) Excessive or indiscriminate use of whip. While on the track premises at any time, no one shall use a whip in an excessive, indiscriminate, injurious, abusive or unnecessary manner, as the judges may determine in their discretion. The following actions shall be considered as excessive or indiscriminate use of the whip: (1) causing an injury to the horse with the whip; (2) using the whip more than three times in succession without giving the horse time to respond to the urging; (3) using the whip on a horse that is not visibly responding; (4) using the whip on a tired horse or continuing to use the whip when the horse is not reasonably advancing or maintaining its position in the race; (5) using the whip after the finish line; (6) using the handle of the whip on a horse in any manner; (7) striking another horse or driver with the whip or using the whip in a manner that interferes with another horse or driver; (8) movement by the driver of their body or arms in an exaggerated manner; (9) whipping under the arch or shafts of the sulky; (10) placing the whip between a horse's legs; or (11) contacting the horse with the whip on the horse's hocks or below. Notwithstanding the prohibitions described in this section, a driver may use the whip in any reasonable manner to ensure the safety of the horses and drivers in the race. (e) Kicking prohibited. The kicking of a horse is prohibited. Kicking, for purposes of this subdivision, means delivering a blow or thrust with the foot against any part of the horse's body or impelling by striking with the foot at any time on the track premises, including before, during or after a race. (f) Foot out of stirrup. A driver found to have removed a foot from the stirrups shall be punished as if the driver were found to have kicked a horse. Additionally, it shall be considered a kicking violation if a driver makes any contact with a horse while both feet are in or out of the stirrups or any foot supports. Notwithstanding the foregoing, a driver is allowed, in the discretion of the judges, to remove a foot from the stirrup temporarily for the purpose of pulling earplugs or to adjust equipment. (g) Head poles. Head poles may be used on a horse but shall not protrude more than 10 inches beyond the horse's nose. (h) Penalties. (1) The penalties for a kicking violation of this rule are as follows, depending on the severity of the violation: Suspension First offense 30 days Second offense 90 days Third offense License revocation (2) The penalties for a non-kicking violation of this rule are as follows, depending on the severity of the violation: Suspension Fine First offense none $100 Second offense 3 days $250 Third offense 7 days $500 Fourth offense 15 days $1,000 Fifth or subsequent offense For each subsequent offense, the penalty for both suspension days and the amount of the fine shall be double the last penalty imposed. When calculating penalties for successive non-kicking violations under this section, any kicking violation that occurs between non-kicking violations shall be considered and equated to three non-kicking offenses for purposes of calculating escalating penalties for non-kicking violations. (3) A driver's penalty shall be based on the number of offenses that the driver has had across all racetracks in the United States and, to the extent records are available to the judges, Canada, over the 365-day period that includes and immediately precedes the date of the most recent offense. (4) Any brutal or indiscriminate use of the whip or excessive number of offenses may subject a driver to license revocation, without regard to the number of offenses. (5) In addition to the penalties set forth in this subdivision, the violation of any of the provisions in this section may result in loss of placement or disqualification if, in the discretion of the judges, the driver and horse gained an unfair advantage due to such violation. (6) Nothing in the penalties set forth in this subdivision shall preclude a judge, as the circumstances may warrant, from referring a licensee to the commission for a review of the character and fitness of such licensee to hold a racing license. (i) Publication required. All harness racing corporations or associations conducting a pari-mutuel meet shall publish this section in each day's official racing program.

9 NYCRR 4117.9 - Inspection of equipment

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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

Every driver shall examine the shoes and all equipment to ascertain that they are in proper condition before going to the post parade.

9 NYCRR 4117.10 - Breaking horses

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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)When a horse breaks from its gait, the driver shall:

(1)avoid interfering with another horse or driver;

(2)take to the outside, where clearance exists;

(3)pull the horse to its proper gait;

(4)lose ground by the break.

(b)If there has been no failure on the part of the driver in complying with paragraphs (a)(1) through (4) of this section, the horse shall not be set back unless a contending horse on its gait is lapped on the hind quarter of the breaking horse at the finish.

9 NYCRR 4117.11 - Coupled entry penalties

Compiled text through Jul 15, 2022

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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)If two or more horses are coupled in the betting as an entry and one or more of them shall be disqualified for violation of the rules of racing, the balance of the entry shall also be disqualified if in the judgment of the judges such violation prevented any other horse or horses from finishing ahead of the other part of the entry. If said violation is without such effect upon the finish of the race, penalty therefor may be applied against the offender and the balance of the entry may go unpunished.

(b)This section shall not apply to horses coupled as a field in the betting, nor to a horse, part of an entry penalized for running, or breaking gait, if in the opinion of the judges such break does not aid any other horse in the entry to improve his position at the finish other than being advanced in the summary as a result of the penalty. In the case of a horse coupled as the field, only the offending horse shall be disqualified.

9 NYCRR 4117.12 - Setting horses back

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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)The judges may set a horse back one or more places and disqualify such horse for betting or purse purposes or both regardless of placing, if, in their judgment such horse has caused interference or its driver has violated any of these rules. In placing such horse the judges shall consider both the effect caused on competing horses and any advantage gained by the offending horse through such interference or violation.

(b)If the judges believe a driver allows or causes such driver’s horse to break for the purpose of fraudulently losing a race, such driver shall be subjected to the penalties prescribed herein.

9 NYCRR 4117.13 - Time between heats

Compiled text through Jul 15, 2022

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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

The time between heats for any distance up to and including a mile shall be not less than 25 minutes; for any distance between one and two miles, 30 minutes. No heat shall be called after sunset where the track is not lighted for night racing.

9 NYCRR 4117.14 - Right of the course

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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

Horses called for a race shall have the exclusive right of the course, and all other horses shall vacate the track at once, unless permitted to remain by the judges.

9 NYCRR 4117.15 - Time for accidents

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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

In the case of accidents, only so much time shall be allowed as the judges may deem necessary and proper.

9 NYCRR 4117.16 - Report of interference

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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

It is the duty of every driver to report to the official designated for such purpose by the presiding judge, as promptly after the conclusion of a race in which such driver has participated as possible, any interference to himself or herself or his or her horse by another horse or driver during a race. Failure to report such interference may be the subject of disciplinary action.

9 NYCRR 4117.17 - Open stretch racing

Compiled text through Jul 15, 2022

No later Register activity identified in this check.

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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)Where a racetrack uses an open stretch in which the line of pylons in the homestretch delineating the inner edge of the racing surface has been moved approximately eight feet further inside to create an “inner lane,” the following provisions shall govern racing in the open stretch;

(1)No horse shall be driven into the inner lane in an attempt to pass or force out a leading horse prior to the last one-eighth mile of the race.

(2)Horses driven on the outside shall yield sufficient room to interior horses at the end of the inner lane to stay on the course.

(3)During the last one-eighth mile of the race, a horse may only be driven into the inner lane for the purposes of passing a leading horse. No horse may be driven into the inner lane for the purpose of blocking a trailing horse. It shall be presumed that a horse which blocks a trailing horse in the inner lane without advancing on a leading horse is being driven for the purpose of blocking a trailing horse.

(b)Violation of these provisions shall be considered racing infractions in considering disqualifications of horses and penalties to drivers.

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