Title 9 Part 4204

All quarter horse racing corporations or associations formed pursuant to the Quarter Horse Racing Law of the State of New York desiring to conduct a race meeting with pari-mutuel wagering thereon must obtain a license annually from the commission. All licenses shall be deemed conditioned upon compliance with the laws of the State of New York, the rules and regulations of the commission, payment of salaries, fees and taxes required by statute, payment of charges for the operation of the commission laboratory for chemical analysis of samples, and the proper installation, operation and maintenance of equipment and devices for the conduct, timing and monitoring of races which the commission shall prescribe as necessary or desirable in the public interest.

The commission may, in considering either an initial track license or pending final determination of any question with respect to the granting of an annual license, issue a temporary license upon such terms and conditions as it may deem necessary, desirable or proper to effectuate the purposes of the Quarter Horse Racing Law and the rules and regulations of the commission. Such temporary license may be issued subject to the written acceptance of the terms and conditions therein prescribed and in the event that such written acceptance is not received by the commission within the time prescribed, the commission may refuse to issue such temporary license.

Application for a license to conduct a quarter horse racing meeting with pari-mutuel wagering shall be submitted to the commission in such form as may be approved by the commission and the commission may require that such form shall contain a provision for an oath of a duly authorized officer of the applicant corporation or association or by the applicant desiring a track license. The commission may call for further data and information or it may require the applicant or any officer or employee to appear in person before it.

Upon receipt of an application satisfactory in form and content to the commission, the commission may grant an initial license or a temporary license for a term of days during the current racing year during which the applicant may conduct quarter horse racing with pari-mutuel wagering. Such license shall specify the place where and the hours of the day or night during which racing and pari-mutuel wagering shall be held.

A licensee conducting quarter horse racing with pari-mutuel wagering, their officers, directors, officials, and employees, shall be responsible for the conduct of such racing meetings and each shall observe and enforce this Subchapter, the orders and directions of the commission, the Pari- Mutuel Revenue Law and the Quarter Horse Racing Law.

The commission may refuse to issue a license to conduct a race meeting with pari-mutuel wagering when, in its judgement, such refusal shall appear to be in the best interest of racing and of the public.

No license or any part thereof shall be transferable or assignable in any manner or in any particular.

Each racing association shall furnish to the commission within 60 days after the close of its fiscal year, four copies of its balance sheet and of its operating statement for such fiscal year with comparison to the prior year, the same to be duly sworn to before a notary public by the treasurer or an authorized officer of such racing association and certified by a duly licensed certified public accountant and be in such form as may be prescribed from time to time by order of the commission.

Each licensee shall police its grounds at all times and preclude admission of any authorized persons in and around the stables, paddocks or other security areas.

Any person, firm, association or corporation, who holds, any concessions, right or privilege, to perform any service or sell any article at any quarter horse race track at which pari-mutuel meets are conducted must submit to the commission a copy of each report, advice or other document which that person, firm, association or corporation furnishes or is required to furnish to the licensed quarter horse racing association or corporation pursuant to any agreement written or oral, with such racing association or any other arrangement between such parties. At the end of each racing meeting, such person, firm, association or corporation shall prepare and send to the commission a record of its operations at the track in the form of a profit and loss statement. Such report shall contain detailed statement of revenues and expenses paid or accrued during the period and shall be sworn to by at least two of the principal officers of such firm. Such report must be filed with the commission within 30 days after the end of each racing meeting. Such firm, person, association or corporation shall also submit to the commission a verified financial statement including a balance sheet, supporting schedules, and such other details as may fully acquaint the commission with all of the facts pertaining to its operation during the year. These reports shall be filed within 75 days after the end of the calendar or fiscal year of such person, firm, association or corporation.

Any persons, firm, association or corporation which holds any concession, right or privilege to perform any services or sell any article at any track at which pari-mutuel quarter horse racing meets are conducted must submit to the commission the names of all personnel employed at the track including such information that the commission shall require concerning each employee, copies of all written contracts and agreements and a summary of all verbal contracts and agreements, list of stockholders annually, list of officers and directors and annual compensation paid to each and upon the sale or transfer of any stock of any concessionaire, evidence of such sale or transfer must be submitted to the commission by affidavit verifying that said transfer or sale is in compliance with section 63 of article 3 of the Pari-Mutuel Revenue Law, as amended.

Disputes between a regional corporation and a track with respect to the purposes or objectives set forth in section 518 of the Racing, Pari-Mutuel Wagering and Breeding Law shall be submitted in writing to the commission for determination. The commission may make its determination based on the submissions or may hold a hearing on the matter. The commission' s determination shall be final. Failure to comply with the commission's determination by any party shall subject the person or persons responsible therefor to disciplinary action.

Each quarter horse racing association or corporation, which maintains a website on the Internet, shall post on its home page a message designed to assist compulsive gamblers. Such posting shall include, but not be limited to a notice of the availability of one or more organizations approved by the Commissioner of Mental Health, pursuant to the provisions of section 7.09(g) of the Mental Hygiene Law, which offer assistance in dealing with problem of compulsive gambling.