2023 New York Laws › BNK - Banking › Article 2 - Department of Financial Services; Superintendent of Financial Services; Supervisory and Regulatory Powers › 22 - Fingerprints.

§ 22.  Fingerprints.  (a)  Notwithstanding any other provision of law,
every applicant for  a  license,  authorization  or  registration  under
articles  nine, nine-A, eleven-B, twelve-B, twelve-C, twelve-D, twelve-E
and thirteen-B of this chapter and every applicant filing an application
to acquire control of any licensee or registrant, as the  case  may  be,
under such articles shall submit simultaneously with an application, his
or  her fingerprints in such form and in such manner as specified by the
division of criminal justice services, but in any event,  no  less  than
two digit imprints. The superintendent shall submit such fingerprints to
the  division of criminal justice services for the purpose of conducting
a criminal history search and returning a report thereon  in  accordance
with  the  procedures  and  requirements  established  by  the  division
pursuant to the provisions of article thirty-five of the executive  law,
which  shall  include the payment of the prescribed processing fees. The
superintendent shall request that the division submit such  fingerprints
to  the  federal  bureau  of investigation, together with the processing
fees prescribed by such bureau, for the purpose of conducting a criminal
history search and returning a report thereon. An applicant shall not be
required  to  submit  his  or  her  fingerprints  as  required  by  this
subdivision  if  such  applicant (i) is already subject to regulation by
the department and the applicant has submitted such fingerprints to  the
department,  such  fingerprints  have  been submitted to the division of
criminal justice services for  the  purpose  of  conducting  a  criminal
history  search,  and  a  report of such search has been received by the
department from such division; or (ii) is subject  to  regulation  by  a
federal  bank  regulatory  agency and has submitted such fingerprints to
such agency which has had a criminal history search  conducted  of  such
individual   and  has  shared  such  information  or  its  determination
resulting from such search with the department; or (iii) is  an  officer
or  stockholder  of  a  corporation  whose  common or preferred stock is
registered on a national securities exchange, as provided in an  act  of
congress  of  the United States entitled the "Securities Exchange Act of
1934", approved June sixth, nineteen hundred thirty-four, as amended, or
such other exchange or market system as the superintendent shall approve
by regulation, and has submitted such fingerprints to such  exchange  or
market  system which has had a criminal history search conducted of such
individual  and  has  shared  such  information  or  its   determination
resulting  from such search with the department; provided, however, that
the superintendent may subsequently require such applicant to submit his
or her fingerprints if the superintendent has  a  reasonable  basis  for
updating  the  information or determination resulting from the report of
the criminal history search conducted at the  request  of  such  federal
banking agency, exchange or market system.
(b) The superintendent shall also, concurrent with an investigation of
a  licensee  or registrant, or an authorized individual, pertaining to a
violation of this chapter, submit such fingerprints to the  division  of
criminal  justice  services  for  the  purpose  of conducting a criminal
history search and returning a report thereon and through  the  division
to  the federal bureau of investigation for the purpose of a fingerprint
check of such licensee, registrant or authorized individual.
(c) For purposes of this section, "applicant" shall include a  natural
person  or  such principal, officer, director, trustee or stockholder of
any  other  entity  as  may  be  designated   by   the   superintendent.
Notwithstanding  any other provision of this article, the superintendent
shall not access criminal history data or information, unless any agency
from which the superintendent receives directly criminal history data or
information has entered into a use and dissemination agreement with  the
superintendent consistent with the provisions of this section.