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New York Codes, Rules and Regulations (NYCRR)

Title 9 Part 5303

Executive Department

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16 sections

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Source versions current through Nov 15, 2021 - Sep 30, 2026 across sections

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

9 NYCRR 5303.1 - General

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019
(a)The terms application, applicant, license, licensee, registration and registrant, as used in this Part and Parts 5304 through 5307 of this Title, relate to occupational licensing and enterprise and vendor licensing and registration as set forth in titles 3 and 4 of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law.
(b)It shall be the affirmative responsibility of each applicant, licensee and registrant to establish by clear and convincing evidence its qualifications for licensure or registration.

9 NYCRR 5303.2 - Identification

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019
(a)Every natural person applying for a license or registration pursuant to this Part and Parts 5304 through 5307 of this Title shall establish such person’s identity to the satisfaction of the commission pursuant to the requirements of the license or registration application. For the purposes of this Part, applicants for licenses and registrations shall submit to the commission the information as required by Racing, Pari-Mutuel Wagering and Breeding Law section 1323(2) or 1324(4), respectively.
(b)Any natural person may request that the commission change the name designated on such person’s application, license or registration by establishing appropriate identity information as may be required by the commission, including, without limitation, as the case may be, a certificate of marriage, a certified copy of a divorce decree or other appropriate court order.

9 NYCRR 5303.3 - Fingerprinting

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019
(a)Each applicant, licensee or registrant, including each gaming facility principal, casino vendor enterprise principal, casino key employee and other employees, shall, at the time of application and upon renewal, be fingerprinted under the supervision of the commission or a duly authorized representative approved by the commission. In the alternative, the commission may permit a person to submit sets of classifiable fingerprints on fingerprint impression cards provided by the commission.
(b)In the event that the commission cannot obtain usable fingerprints for processing after two good-faith attempts, the commission shall undertake a search of a person’s background via other means available to the commission.
(c)Nothing in this Part shall relieve a person who submits fingerprint sets pursuant to subdivision (a) of this section from the duty to disclose any criminal arrests as required by this Part.
(d)Each gaming facility licensee shall remit fingerprinting fees directly to the fingerprinting service provider approved by the commission. However, if the applicant is submitting fingerprints via fingerprint impression cards, the gaming facility licensee shall remit the fee to the commission, payable to the fingerprinting service provider approved by the commission.

9 NYCRR 5303.4 - Photograph

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

Each applicant, licensee or registrant who is a natural person shall submit with his or her application a color photograph in the format required by the application. Such photograph is required to have been taken within six months of the date the application is submitted to the commission.

9 NYCRR 5303.5 - Minimum age

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

No natural person shall be licensed or registered by the commission unless such person is at least 18 years old.

9 NYCRR 5303.6 - Eligibility to work in the United States

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

No natural person shall be employed as an employee of a gaming facility licensee or a vendor unless such person is a citizen of the United States or is otherwise eligible to work in the United States.

9 NYCRR 5303.7 - Filing

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

No application for a license or registration shall be deemed filed with the commission pursuant to this Part until:

(a)all papers presented conform to all requirements relating to format, signature, oath or affirmation, attorney certification, if applicable, and copies, as the commission may require;
(b)all appropriate application, registration, business disclosure and personal history disclosure forms have been properly completed and submitted;
(c)all required consents, waivers, fingerprint impressions, photographs and handwriting exemplars have been properly submitted;
(d)all other information, documentation, assurances and other materials required or requested at the filing stage pertaining to qualifications have been submitted properly; and
(e)all required fees have been paid.

9 NYCRR 5303.8 - Processing

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

The commission shall process only complete applications. The processing of any application shall not constitute any agreement or acceptance by the commission that the requirements of article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law and Parts 5303 through 5307 of this Title have been satisfied.

9 NYCRR 5303.9 - Amendment

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019
(a)Information contained in an application submitted by an applicant, licensee or registrant shall be updated on a form prescribed by the commission. Each applicant, licensee and registrant shall file promptly with the commission an update explaining any new or changed facts or circumstances whenever any material or significant new or changed fact or circumstance occurs with respect to any matter set forth in the application.
(b)All applicants, licensees and registrants shall have an obligation to ensure that information, documentation and assurances are submitted to the commission are not misleading in light of the circumstances in which such information, documentation and assurances were submitted.
(c)The commission may permit any applicant, licensee or registrant to file an amendment to its application at any time prior to final action thereon by the commission.
(d)The failure of an applicant, licensee or registrant to comply with this Part shall be grounds for rejection of the application or for suspension or revocation of a license or registration.

9 NYCRR 5303.10 - Withdrawal

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019
(a)Prior to the commission granting or denying any application pursuant to this Part, without regard to whether a temporary license has been issued, an applicant or the associated gaming facility licensee may withdraw a filed application by filing with the commission a written notice of such withdrawal. Upon the receipt of such notice, the commission will cease the processing of such application, but will retain such application and materials in accordance with applicable law and commission policy.
(b)If an applicant has previously withdrawn an application, the commission may refrain from processing any application submitted by such applicant within one year from the date of such withdrawal.
(c)No fee or other payment relating to an application shall become refundable by reason of withdrawal of the application, unless the commission determines otherwise for good cause shown. In no event, however, shall a fee for fingerprinting be refundable.

9 NYCRR 5303.11 - Investigations

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

The commission, or its designee, shall make or cause to be made an inquiry or investigation concerning an applicant, licensee or registrant, or any affiliate, intermediary, subsidiary or holding company of an applicant, licensee or registrant, as the commission may deem appropriate, and in accordance with article 13 of the Racing, Pari-Mutuel Wagering and Breeding Law, either at the time of the initial application or at any time thereafter.

9 NYCRR 5303.12 - Issuance of a license or registration

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019
(a)The commission shall notify the human resource department or other applicable department of the gaming facility licensee in writing or via electronic communications when a license or registration is granted.
(b)Licenses and registrations issued by the commission are nontransferable.

9 NYCRR 5303.13 - Fees

Source version current through Nov 15, 2021

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
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

All fees payable to the commission pursuant to this Part and Parts 5304 through 5307 of this Title shall be paid by electronic funds transfer and shall be deposited into the commercial gaming revenue fund.

(a)Application fee.

Upon submission of an application for a license or registration the New York State Police will charge the gaming facility licensee an amount that reflects the anticipated costs of the investigation of such applicant.

(b)License fee.

Upon approval of an application for a license or registration the commission may charge the gaming facility licensee a license fee as set forth in the applicable license application.

(c)Renewal application fee.

Upon submission of a renewal application for a license or registration, the New York State Police will charge the gaming facility licensee an amount that reflects the anticipated costs of the investigation of such applicant.

(d)Renewal license fee.

Upon approval of a renewal application for a license or registration the commission may charge the gaming facility licensee a renewal fee as set forth in the applicable renewal license application.

9 NYCRR 5303.14 - Application and employment after denial or revocation.

Source version current through Sep 30, 2026

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 30, 2026
Related Register notice
SGC-40-22-00009-A · Adopted rule
Related notice published
Dec 28, 2022
Related notice effective date
Dec 28, 2022

Application and employment after denial or revocation.

(a)Any natural person whose license, registration or application was denied, suspended or revoked by the commission on the basis of any of the following provisions may reapply at any time after the failure or disqualification is cured:
(1)failure to demonstrate financial stability, after which reapplication is permitted only upon achieving financial stability;
(2)failure to satisfy the age requirement, after which reapplication is permitted only upon attaining the requisite age;
(3)if the commission has determined to deny a license or registration application or suspend or revoke a license or registration based upon a pending disposition of a criminal offense, reapplication is permitted upon disposition of the pending charge;
(4)if the commission has determined to deny a license or registration application or suspend or revoke a license or registration based upon the relation of the criminal history of the applicant and the employment position sought with the gaming facility, reapplication is permitted if a different employment position is sought to which the applicant’s criminal history might not provide a basis for denial of the application; and
(5)any statutory or regulatory provision that is subsequently repealed or modified, after which reapplication is permitted only upon a showing that the subsequent repeal or modification of the statutory or regulatory provision obviates the grounds for denial or revocation and justifies the conclusion that the prior determination should not be a basis for denying a license or registration application.
(b)Any person seeking to reapply pursuant to subdivision (a) of this section shall file with the commission a petition stating with particularity how the failure or basis for disqualification has been cured.
(c)Except as otherwise set forth in this Part, any person whose application has been denied or whose license or registration has been revoked may reapply after one year. The reapplication shall include submission of sufficient evidence demonstrating that the factual circumstances upon which the denial or revocation was based have been cured to the satisfaction of the commission.

9 NYCRR 5303.15 - Earlier source heading: [Repealed]

Related State Register notice: Revised rulemaking SGC-09-18-00005-RP. Published Jan 16, 2019.

Source version current through Nov 15, 2021

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

Current section text is not available here.

9 NYCRR 5303.16 - Earlier source heading: 5303.16 to 5303.17 [Repealed]

Related State Register notice: Revised rulemaking SGC-09-18-00005-RP. Published Jan 16, 2019.

Source version current through Nov 15, 2021

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Dates and status
NYCRR title agency
Executive Department
Section status
Section source receipt
Source version current through
Nov 15, 2021
Related Register notice
SGC-09-18-00005-RP · Revised rulemaking
Related notice published
Jan 16, 2019

Current section text is not available here.

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