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New York regulations

Title 9 Part 5303

Executive Department

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

All 13 displayed sections in this Part carry the same compiled date. Status and warnings stay on each section.

9 NYCRR 5303.1 - General

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026
(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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026
(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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026
(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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026
(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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026
(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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026
(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

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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
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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

Repealed or removed in compiled source

The compiled source records this section as repealed. We hold the witnessed tombstone record; see the source for details.

Dates and status
Compiling agency
Executive Department
Text status
Source-only entry
Compiled text through
Nov 15, 2021
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
SGC-40-22-00009-A · Adopted rule · Dec 28, 2022
Source snapshot
Jun 6, 2026

9 NYCRR 5303.15 - [Repealed]

Repealed or removed in compiled source

The compiled source records this section as repealed. We hold the witnessed tombstone record; see the source for details.

Dates and status
Compiling agency
Executive Department
Text status
Source-only entry
Compiled text through
Nov 15, 2021
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

9 NYCRR 5303.16 - 5303.16 to 5303.17 [Repealed]

Repealed or removed in compiled source

The compiled source records this section as repealed. We hold the witnessed tombstone record; see the source for details.

Dates and status
Compiling agency
Executive Department
Text status
Source-only entry
Compiled text through
Nov 15, 2021
Register checked through
July 29, 2026/Vol. XLVIII, Issue 30 (2026-07-29)
Activity status
Later Register activity found — review the notice before relying on the compiled text.
Latest notice
TAF-46-21-00009-P · Proposed rule · Nov 17, 2021
Source snapshot
Jun 6, 2026

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