Title 9 Part 5114 NYCRR — browse free

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Compiled text through Nov 15, 2021Register checked through July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)

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

9 NYCRR 5114.1 - Notification of anticipated or actual changes in directors, officers or equivalent licensees of video lottery gaming agents and holding companies

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: Nov 15, 2021
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 video lottery gaming agent or managing agent shall immediately notify the commission, in writing, as soon as is practicable, of the proposed appointment, appointment, proposed nomination, nomination, election, intended resignation, resignation, incapacitation or death of any member of, or partner in, such agent’s board of directors, partnership or limited liability company, as applicable, or of any officer or other person required to be licensed as a principal or key employee under these regulations. The commission shall undertake any review of the license necessitated by the change.

9 NYCRR 5114.2 - Notification concerning certain new principals of publicly traded holding companies

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Nov 15, 2021
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)A video lottery gaming agent shall immediately notify the commission in writing if the video lottery gaming agent becomes aware that, with regard to any publicly traded or private holding company of the video lottery gaming agent or managing agent, any person has acquired:

(1)five percent or more of any class of equity securities;

(2)the ability to control the holding company; or

(3)the ability to elect one or more directors of the holding company.

(b)If any publicly traded holding company of a video lottery gaming agent either files or is served with any Schedule 13D, Schedule 13G or Section 13F filing under the Securities Exchange Act of 1934, copies of any such filing shall be immediately submitted to the commission by the video lottery gaming agent or the publicly traded holding company.

(c)The commission shall undertake any review of the license necessitated by the change.

9 NYCRR 5114.3 - Notification of financial transactions

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: Nov 15, 2021
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)Each video lottery gaming agent and/or the managing agent of the video lottery gaming facility shall immediately notify the commission, in writing, as soon as it becomes aware that it intends to enter into a financial transaction bearing any relation to such agent’s video lottery gaming facility, including, without limitation, if such financial transaction may result in any new financial backers, investors, mortgagees, bondholders, or holders of indentures, notes, or other evidences of indebtedness who may be subject to licensing. Such notice shall be addressed to the commission in accordance with these regulations.

(b)Prior to closing on any such financial transaction, the video lottery gaming agent shall provide a summary of the terms of such transaction; copies of all relevant documents for such transaction; such financial statements as requested by the commission; together with any such other and further information that the commission may request. In addition to the foregoing, the video lottery gaming agent shall cause the financial institution or lender to consent to a non-disturbance agreement with the commission that will insure the uninterrupted operation of the video lottery gaming facility in the event of any default under the terms and provisions of such financial transaction.

(c)The commission shall undertake any review of the license necessitated by the financial change.

9 NYCRR 5114.4 - Issuance or transfer of interests; approval

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Nov 15, 2021
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

No person shall issue or transfer any security or ownership interest in a video lottery gaming agent or managing agent, or any non-publicly traded subsidiary or holding company thereof, without the express, prior written approval of the commission. The commission shall not grant any such approval without considering the provisions of licensing.

9 NYCRR 5114.5 - Subsidiaries

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Nov 15, 2021
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)Each video lottery gaming agent or holding company thereof shall report immediately, in writing, to the commission the formation or dissolution of, or any transfer of a non-publicly traded interest in, any subsidiary of the video lottery gaming agent or any subsidiary of any holding company of the video lottery gaming agent that bears any relationship to the video lottery gaming facility.

(b)Each video lottery gaming agent shall file with the commission such documents for each subsidiary of the video lottery gaming agent as may be requested by the commission.

(c)The commission shall undertake any review of the license necessitated by the financial change.

9 NYCRR 5114.6 - Minutes of meetings of boards and committees

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: Nov 15, 2021
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 video lottery gaming agent licensee or applicant thereof shall file with the commission copies of the minutes of all meetings of such licensee or applicant’s board of directors, members or partnership executive committee, as applicable, and of all committee meetings including, without limitation, the audit committee, within seven days of their formal adoption.

9 NYCRR 5114.7 - Records regarding ownership

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Dates and status

Compiling agency: Executive Department
Text status: Source receipt
Compiled text through: Nov 15, 2021
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)In addition to other records and information required by these regulations, each video lottery gaming agent and/or the managing agent for the video lottery gaming facility shall maintain and keep current the following records regarding the equity structure and owners:

(1)If a corporation:

(i)a certified copy of articles of incorporation and any amendments thereto;

(ii)a copy of by-laws and amendments thereto;

(iii)an incumbency list of officers and directors;

(iv)minutes of all meetings of stockholders and directors;

(v)a current list of all stockholders and stockholders of affiliates, including their names and the names of beneficial owners of shares held in street or other name where any beneficial owner has a beneficial interest in two percent or more of the outstanding shares of any class, addresses, and the number of shares held by each and the date acquired;

(vi)a complete record of all transfers of stock;

(vii)a record of amounts paid to the corporation for issuance of stock and other capital contributions and dates thereof;

(viii)a record, by stockholder, of all dividends distributed by the corporation; and

(ix)a record of all salaries, wages, and other remuneration (including prerequisites), direct and indirect, paid during the calendar or fiscal year, by the corporation, to all officers, directors, and stockholders with an ownership interest at any time during the calendar or fiscal year, equal to or greater than five percent of the outstanding capital stock of any class of stock.

(2)If a partnership:

(i)a schedule showing the amounts and dates of capital contributions, the names and addresses of the contributors, and percentage of interest in net assets, profits, and losses held by each;

(ii)a record of the withdrawal of partnership funds or assets;

(iii)a record of salaries, wages, and other remuneration (including prerequisites), direct and indirect, paid to each partner during the calendar or fiscal year; and

(iv)a copy of the partnership agreement and certificate of limited partnership, if applicable.

(3)If a sole proprietorship:

(i)a schedule showing the name and address of the proprietor and the amount and date of such proprietor’s original investment;

(ii)a record of dates and amounts of subsequent additions to the original investment and withdrawals therefrom; and

(iii)a record of salaries, wages, and other remuneration (including prerequisites), direct or indirect, paid to the proprietor during the calendar or fiscal year.

(4)If a limited liability company:

(i)a certified copy of the articles of organization;

(ii)a certified copy of the member agreement;

(iii)a certified record of all current members;

(iv)an incumbency list for all officers; and

(v)minutes of all meetings of members.

(b)All records regarding ownership shall be located on the premises of the video lottery gaming facility, unless a specific exemption is allowed to the video lottery gaming agent by the commission.

(c)Each video lottery gaming agent or applicant shall, upon request by the commission, provide a list of all record holders of any or all classes of publicly traded securities issued by any holding company or by any other affiliated entity that is required to qualify as a financial source.

9 NYCRR 5114.8 - Continuing obligation to notify commission of violations and criminal activities

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: Nov 15, 2021
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 licensee under these regulations shall have the continuing obligation to report to the commission any regulatory or criminal violation that becomes known to them with respect to any aspect of video lottery gaming in this State or their gaming activities in any other jurisdiction. The failure of any licensee to report any such regulatory or criminal violation to the commission shall be a violation of such license, the act and these regulations.

9 NYCRR 5114.9 - Sale of other lottery games

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: Nov 15, 2021
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 video lottery gaming agent will offer for sale to the public and any player at the video lottery gaming facility all lottery games offered for sale by the commission, and will provide to the commission adequate and appropriate space for such sales as approved by the commission.

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