9 NYCRR 5116.4 — read free

Marketing and promotion plan implementation

Compiled text through Nov 15, 2021

No later Register activity identified in this check.

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)Review of books and records.

The commission or the commission’s representative may, at the commission’s discretion, review the books and records of the video gaming agent, to determine additional needs for assurance regarding utilization of the funds from the marketing and promotion program. Each video gaming agent shall maintain sufficient documentation and a clear audit trail to support any and all marketing expenditures.

(b)Violation for failure to submit monthly worksheet.

The failure of the video lottery gaming agent to submit any monthly worksheet required by this Part shall be a violation of such agent’s license, the act and this Part.

(c)Reports.

(1)The commission shall review each scheduled or required report submitted by the video lottery gaming agent and audit the same against the approved marketing plan. Exceptions, discrepancies or questionable spending identified by the commission must be explained by the video lottery gaming agent in a timely manner to the satisfaction of the commission, but in no event later than 30 days from the date of the commission’s initial inquiry. The failure of the video lottery gaming agent to adequately respond to any inquiry of the commission shall be a violation of this Part and may result in commission actions to include, without limitation, the imposition of fines.

(2)A video lottery gaming agent shall prepare each report in a professional manner detailing the marketing expenses to ensure that only qualified marketing expenses have been included. Qualified marketing expenses are defined in section 5116.5 of this Part and in guidance documents as the commission may issue. Should the commission determine that a video lottery gaming agent has submitted non-qualified expenses, appropriate penalties may be applied.

(3)The monthly marketing and promotion program expense report shall, without limitation, summarize the expenditure made and provide details and supporting documentation as determined by the commission in evidence of the expenditures.

(d)Sanctions.

In the event a video lottery gaming agent cannot explain adequately an expenditure or discrepancy the commission raises, or in the event any violation of this Part remains uncured for a period of one through 30 days, the commission, in addition to any other remedy permitted by this Subtitle, may take any or all of the following actions

(1)impose fines; and

(2)reimburse the commission for the cost of the commission’s expenses related to researching and investigating such expenditure.

(e)Requirements after insufficient reporting

Within 45 days of the end of each quarter for an applicable marketing plan, in the event the monthly marketing expense reports are deemed insufficient at the sole discretion of the commission, the commission may require a video lottery gaming agent to provide the following information:

(1)a full and complete reconciliation of the previous quarter’s marketing, promotion and associated costs incurred; and

(2)an accounting for the cash spending related to the marketing expenses.

(f)Annual report.

Each video lottery gaming agent shall provide annually to the commission a report by an independent auditor of the content of the final annual statement of marketing expenses in a type and format prescribed by the commission.

(g)Documentation required.

Each video lottery gaming agent shall maintain sufficient documentation to support any and all of such agent’s marketing expenses.

Marketing and promotion plan implementation

State Register activity