9 NYCRR Part 4404 - Executive Department

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Source version current through Sep 15, 2021

All 18 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 4404.1 - Persons prohibited from entry into a branch office

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Any person:

(a)who has been convicted of a gambling offense;

(b)who does not intend in good faith to transact business with a corporation;

(c)who conducts himself or herself in a manner that is offensive or disturbing to other individuals;

(d)whose acts are inconsistent with the orderly conduct of the business of a corporation; or

(e)who is eating or drinking; may not enter a branch office, or remain there if already in a branch office.

9 NYCRR 4404.2 - Transmission equipment

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

No person may bring into a branch office any manual, electrical, mechanical or electronic communications equipment capable of transmitting or receiving:

(a)the results of any race;

(b)any information with respect to odds or wagering pools;

(c)information with respect to track conditions, jockeys, drivers or equipment; or

(d)any other information that concerns a race or pari-mutuel wagering information relative to such races.

9 NYCRR 4404.3 - Telephones prohibited

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

No telephone shall be installed upon the premises of any off-track betting facility except with the permission of the corporation.

9 NYCRR 4404.4 - Bets

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

A bet may be placed for win, place, or show in each race, or for a daily double, an exacta, a quinella, or a triple. All other types of wagering other than those enumerated in this section are prohibited without the prior written approval of the commission.

9 NYCRR 4404.5 - Computation of payment

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Winnings shall be computed on the basis of the odds computed by the track or out-of-state track at which the race is run.

9 NYCRR 4404.6 - Food and beverages

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

No food or beverages may be sold, served or consumed, nor merchandise of any kind sold by vending machine or otherwise in the public area of any branch office without the prior approval of the commission.

9 NYCRR 4404.7 - Distribution of printed matter

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

No printed or written material that pertains in whole or in part to horse racing, pari-mutuel wagering or any aspect thereof shall be sold or distributed by any person in any branch office, except that a corporation may, with the prior approval of the commission, distribute such material as is appropriate to the proper conduct of off-track betting, or sell official race track programs for no less than the price charged by the racing association to such racing association’s patrons.

9 NYCRR 4404.8 - Separate betting pools

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

A corporation may furnish its own pari-mutuel pool for wagering on out-of-state races with the prior approval of the commission.

9 NYCRR 4404.9 - Branch offices

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Unless the commission shall approve a branch office otherwise constructed, all such branch offices shall have entrances thereto from the street and shall be constructed so as to afford clear visibility from the exterior and interior of the premises. Window shades or blinds or screens or other materials shall not obstruct the view from the exterior or the interior of the premises. The establishment of temporary sites and/or mobile betting units shall require commission approval.

9 NYCRR 4404.10 - Betting by a person under the age of 18

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

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021
Related Register notice: SGC-12-16-00009-A · Adopted rule
Related notice published: Jun 8, 2016
Related notice effective date: Jun 8, 2016

(a)

(1)No corporation shall permit any person who is actually or apparently under 18 years of age to enter a branch office. For purposes of this paragraph, a branch office shall not include a simulcast theater, as defined in Racing, Pari-Mutuel Wagering and Breeding Law section 1001(l), or a branch office operated by an entity other than the corporation (commonly referred to as an EZ Bet location, a Quick Bet location or a similar name).

(2)No corporation shall permit any person who is actually or apparently under 18 years of age to place a bet at any branch office directly for himself or herself or for or through another person.

(b)The commission shall penalize a corporation found to have violated paragraph (a)(1) or (2) of this section with respect to a simulcast theater, as defined in Racing, Pari-Mutuel Wagering and Breeding Law section 1001(l) as follows:

(1)for a first violation, a fine of $1,000;

(2)for a second violation within one year of a violation, a fine of $5,000;

(3)for a third violation within one year of a violation, a fine of $10,000; and

(4)for a fourth or subsequent violation within one year of a violation, a fine of $25,000 and such further action as the commission may deem appropriate, which may include without limitation the revocation of approval of the corporation’s plan of operation.

(c)The commission shall penalize an entity, other than a corporation, that operates a branch office (commonly referred to as an EZ Bet location, a Quick Bet location or a similar name), found to have violated paragraph (a)(2) of this section, as follows:

(1)for a first violation, a written warning of such violation;

(2)for a second violation within one year of a violation, a fine of $500;

(3)for a third violation within one year of a violation, a fine of $1,000; and

(4)for a fourth or subsequent violation within one year of a violation, such further action as the commission may deem appropriate, which may include without limitation the revocation of approval of the corporation’s plan of operation with respect to such branch office.

9 NYCRR 4404.11 - Telephone betting

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

A bet placed by telephone shall be subject to the rules and regulations that govern the placing of all off-track bets.

9 NYCRR 4404.12 - Closing of a branch office

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

If a branch office is closed, a sign to that effect shall be displayed prominently at the branch office.

9 NYCRR 4404.13 - Interface agreements

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Each agreement for the combination of all off-track wagers with on-track wagers between a State track or an out-of-state track and a corporation shall be subject to the prior approval of the commission.

9 NYCRR 4404.14 - Branch office location

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Except for good cause shown satisfactory to the commission in individual circumstances, a corporation shall not open or maintain a branch office within 500 feet of an educational institution or place of worship. The measurement of 500 feet shall be along the public road that the branch office faces or to which it has nearest access, and along straight-line courses that a pedestrian may take legally and as of right from the nearest doorway of general access of the branch office to the nearest doorway of general access of the institution or place of worship; provided, however, in cities with a population of 250,000 or more the prohibited area of proximity above noted shall be 200 feet.

(b)No branch office shall be located within one mile of the boundary of any licensed or franchised track except with specific written consent of the track involved and written authorization of the commission.

9 NYCRR 4404.15 - Calculation of odds and payoff prices

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Each corporation shall operate its system of off-track betting so as to result in the combination before the race of all off-track and on-track wagers into single statewide pools. In line with such purpose, each off-track betting corporation shall cause all pools, as are accumulated by such corporation, to be transmitted to the site of the statewide interface of such pool prior to the start of the race, and, in the case of pools carried at in-state tracks, all partial pools, as may be accumulated, to be transmitted to such track prior to such in-state track's first display of mutuel odds so that the on-track odds may accurately reflect all wagers to such time.

(b)If, for any reason, all wagers are not combined into a statewide pool before the start of the race:

(1)The payoff price shall be calculated at the site of the statewide interface upon the basis of all available data at such site at the start of the race, and shall be the payoff price on- and off- track statewide.

(2)Notwithstanding paragraph (1) of this subdivision, if such pool is exotic and conducted exclusively off-track, neither probable payoff prices nor the final payoff price shall be calculated until all statewide wagers have been transmitted to and received at the site of the statewide interface.

(c)

(1)If, as a result of paying the statewide price, a corporation's liability for payoff and track settlements is less than its net pool after takeout, such difference shall be added, as most feasible, to the next available statewide net pools of the same type for the same track, unless otherwise ordered by the commission.

(2)If, as a result of paying the statewide price, a corporation's liability for payoff and tract settlements will be greater than its net pool after take-out, such payoff and track settlement nevertheless shall be made, and such loss shall not be set off against monies gained pursuant to paragraph (1) of this subdivision. Nothing herein provided shall deprive any corporation, however, from independently seeking recovery of such liability from any party who may be responsible therefor.

(d)This section shall, whenever applicable, constitute an amendment to any inconsistent provisions in any plan of operation of an off-track betting corporation.

(e)The site of the statewide interface shall, in the case of wagers offered at a New York State track be that track, and in the case of other off-track wagers be operations center of the agreed upon off-track betting corporation or as designated by the commission.

9 NYCRR 4404.16 - Restrooms

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

(a)Except for good cause satisfactory to the commission, each off-track betting branch facility shall provide restroom facilities for patrons.

(b)In determining good cause, the commission may consider the following factors:

(1)the physical size of the off-track betting facility;

(2)the type of services and amenities offered at the off-track betting facility;

(3)the duration of the existing lease or lease renewal;

(4)the terms and conditions of an existing lease;

(5)the adequacy of water supply and waste disposal systems;

(6)the availability of alternative restroom facilities at or near the off-track betting facility; and

(7)the public's safety, health and welfare.

9 NYCRR 4404.17 - Internet posting to assist compulsive gamblers

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Each corporation that 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 the Mental Hygiene Law, which offer assistance in dealing with problem of compulsive gambling.

9 NYCRR 4404.18 - Restrictions on acceptance of public assistance

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Dates and status

NYCRR title agency: Executive Department
Section status: Section source receipt
Source version current through: Sep 15, 2021

Any facility conducting off-track pari-mutuel wagering that cashes or accepts any public assistance check or electronic benefit transfer device issued by a public welfare official or department, or agent thereof, as and for public assistance, as proscribed by section 151 of the Social Services Law, shall be disciplined by the commission. Such discipline may include one or more of the following actions:

(a)revocation of a license;

(b)suspension of a license;

(c)a fine; or

(d)issuance of a public or private letter of reprimand to be placed in the file of the licensee.

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