2023 New York Laws › BNK - Banking › Article 15 - General Provisions Applicable to Banking Stock Corporations, Limited Liability Investment Companies, and Limited Liability Trust Companies › Title 4 - Formation of Corporations › 4002 - Fingerprints.

§ 4002. Fingerprints. (a) Notwithstanding any other provisions of law,
every  incorporator  of  a  corporation  shall, in addition to any other
requirements  which  may  be  imposed  by  the  superintendent,   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.  Every
applicant  filing  an  application  to  acquire  control  of any banking
institution under sections one hundred  forty-three-a  and  one  hundred
forty-three-b   of   this  chapter  shall,  in  addition  to  any  other
requirements  which  may  be  imposed  by  the  superintendent,   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 the 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.
(b) The superintendent shall also, concurrent with an investigation of
an  incorporator  of  a  corporation  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
incorporator.
(c) For purposes of  this  section,  "incorporator"  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.
(d)  An  applicant  shall  not  be  required  to  submit  his  or  her
fingerprints as required by subdivision (a)  of  this  section  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 sets  of  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.