reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5113 - SUSPENSIONS, REVOCATIONS AND OTHER DISCIPLINE › Section 5113.4 - Summary suspension

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Where
					 the commission has reasonable grounds to believe that any licensee has been
					 guilty of a deliberate, willful or a grossly negligent violation of any of the
					 provisions of the act or these regulations, including, without limitation, the
					 failure to pay when due the moneys due and owing to the commission pursuant to
					 the act or these regulations, or that the licensee has been charged with a
					 felony under the laws of the State or in another state, or that due to other
					 violations of law by the licensee or the licensee's patrons, emergency action
					 is required in order to protect the public health, safety, or welfare of the
					 public, and where the commission incorporates such findings in an order, the
					 commission may summarily suspend the license and the licensee without prior
					 notice pending disciplinary proceedings pursuant to these
					 regulations.
(b) The summary
					 suspension of a license without notice pending a public hearing shall be for a
					 period not to exceed 30 days except that a licensee may waive the 30-day
					 hearing requirement in writing no later than five business days prior to the
					 scheduled hearing. In no event, however, shall the requested continuance be
					 granted unless the licensee requesting the continuance has complied with the
					 order of summary suspension by surrendering their license to the
					 commission.
(c) The commission
					 shall deliver a notice of summary suspension by registered mail to the licensee
					 who has been suspended. The notice shall contain such information as the
					 commission determines necessary to provide the licensee with notice of the
					 summary suspension and the reason(s) therefore, including, without limitation,
					 stating when the suspension will begin and end.
(d) The commission shall serve upon the
					 summarily suspended licensee a formal notice initiating disciplinary
					 proceedings and a notice of hearing within five days after receipt by the
					 licensee of the notice of summary suspension.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5113 - SUSPENSIONS, REVOCATIONS AND OTHER DISCIPLINE › Section 5113.5 - Penalties imposed by commission prior to reissuance of license

Current through Register Vol. 46, No. 28, July 10, 2024
The commission may require a person ( or business entity
						) who (or that) is subjected to disciplinary proceedings, or who (or that)
						formerly held a license pursuant to this subchapter, to meet certain conditions
						before reissuing a license to that person or business entity, including,
						without limitation, one of more of the following:
(a) restitution of money;
(b) restitution of property;
(c) making periodic reports to the commission
					 as required; and
(d) payment of
					 outstanding fines imposed by the commission.
(e) Any or all of the conditions imposed by
					 the commission pursuant to this Part may be imposed jointly and/or
					 severally.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5113 - SUSPENSIONS, REVOCATIONS AND OTHER DISCIPLINE › Section 5113.6 - Costs

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In addition to
					 the condition imposed by the commission upon the licensee, the licensee shall
					 pay, pursuant to an order issued by the commission or the commission's
					 authorized representative, the costs incurred by the commission in making the
					 determination to discipline, suspend or revoke, including, without limitation,
					 the costs of the commission's vendors and contractors engaged for such
					 purpose.
(b) Costs may include, but
					 are not limited to: witness fees and per diem; expert witness fees; duplication
					 costs; court reporter, transcription, and other costs incurred in administering
					 or preserving any record; extraordinary staffing costs of the commission; legal
					 fees; expenses incurred in commencing, accommodating, or conducting the
					 hearing; investigative costs; exhibit costs; and any other judicially or
					 statutorily recognized cost, whether incurred prior or subsequent to the
					 conclusion of the investigation of the matter.
(c) Unless otherwise ordered as set forth in
					 subdivision (a) of this section, costs must be paid to the ordered recipient on
					 or before the 30th day from the date of the order awarding the costs, unless
					 stayed by the commission or a court of competent jurisdiction. Failure to pay
					 and tender such costs as ordered shall constitute grounds for sanction,
					 including further fine, suspension and revocation of any license or other
					 affirmative approval.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5113 - SUSPENSIONS, REVOCATIONS AND OTHER DISCIPLINE › Section 5113.7 - Disciplinary hearings

Current through Register Vol. 46, No. 28, July 10, 2024
Any disciplinary hearing commenced pursuant to these
						regulations shall be conducted substantially in accordance with the provisions
						of section 5000.6 of this Subtitle. In the
						event of a conflict between that section and these regulations, these
						regulations shall control.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5113 - SUSPENSIONS, REVOCATIONS AND OTHER DISCIPLINE › Section 5113.8 - Final action by commission

Current through Register Vol. 46, No. 28, July 10, 2024
After notice and hearing, in the event the commission
						finds insufficient evidence to support the violations claimed, the commission
						may find the licensee not guilty of any of the grounds alleged for disciplinary
						action; in which event the disciplinary proceedings shall be terminated. The
						commission may, however, find the licensee guilty by a preponderance of the
						evidence of some or all of the grounds alleged for disciplinary action; in
						which event the commission may take one or more of the following
						actions:
(a) revoke the
					 license;
(b) suspend the license
					 for a period of time not to exceed six months;
(c) fine the licensee; or
(d) issue a public or private letter of
					 reprimand to be placed in the file of the licensee.
(d) This section does not prevent the
					 commission from compromising or settling at any time a formal hearing. Written
					 findings of fact, conclusions of law, and an order must be entered before any
					 decision of the commission shall be considered final.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.1 - Notification of anticipated or actual changes in directors, officers or equivalent licensees of video lottery gaming agents and holding companies

Current through Register Vol. 46, No. 28, July 10, 2024
Each video lottery gaming agent or managing agent shall
						immediately notify the commission, in writing, as soon as is practicable, of
						the proposed appointment, appointment, proposed nomination, nomination,
						election, intended resignation, resignation, incapacitation or death of any
						member of, or partner in, such agent's board of directors, partnership or
						limited liability company, as applicable, or of any officer or other person
						required to be licensed as a principal or key employee under these regulations.
						The commission shall undertake any review of the license necessitated by the
						change.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.2 - Notification concerning certain new principals of publicly traded holding companies

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A video
					 lottery gaming agent shall immediately notify the commission in writing if the
					 video lottery gaming agent becomes aware that, with regard to any publicly
					 traded or private holding company of the video lottery gaming agent or managing
					 agent, any person has acquired:
(1) five
					 percent or more of any class of equity securities;
(2) the ability to control the holding
					 company; or
(3) the ability to
					 elect one or more directors of the holding company.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.3 - Notification of financial transactions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each video lottery gaming agent and/or
					 the managing agent of the video lottery gaming facility shall immediately
					 notify the commission, in writing, as soon as it becomes aware that it intends
					 to enter into a financial transaction bearing any relation to such agent's
					 video lottery gaming facility, including, without limitation, if such financial
					 transaction may result in any new financial backers, investors, mortgagees,
					 bondholders, or holders of indentures, notes, or other evidences of
					 indebtedness who may be subject to licensing. Such notice shall be addressed to
					 the commission in accordance with these regulations.
(b) Prior to closing on any such financial
					 transaction, the video lottery gaming agent shall provide a summary of the
					 terms of such transaction; copies of all relevant documents for such
					 transaction; such financial statements as requested by the commission; together
					 with any such other and further information that the commission may request. In
					 addition to the foregoing, the video lottery gaming agent shall cause the
					 financial institution or lender to consent to a non-disturbance agreement with
					 the commission that will insure the uninterrupted operation of the video
					 lottery gaming facility in the event of any default under the terms and
					 provisions of such financial transaction.
(c) The commission shall undertake any review
					 of the license necessitated by the financial change.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.4 - Issuance or transfer of interests; approval

Current through Register Vol. 46, No. 28, July 10, 2024
No person shall issue or transfer any security or
						ownership interest in a video lottery gaming agent or managing agent, or any
						non-publicly traded subsidiary or holding company thereof, without the express,
						prior written approval of the commission. The commission shall not grant any
						such approval without considering the provisions of
						licensing.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.5 - Subsidiaries

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each video
					 lottery gaming agent or holding company thereof shall report immediately, in
					 writing, to the commission the formation or dissolution of, or any transfer of
					 a non-publicly traded interest in, any subsidiary of the video lottery gaming
					 agent or any subsidiary of any holding company of the video lottery gaming
					 agent that bears any relationship to the video lottery gaming
					 facility.
(b) Each video lottery
					 gaming agent shall file with the commission such documents for each subsidiary
					 of the video lottery gaming agent as may be requested by the
					 commission.
(c) The commission
					 shall undertake any review of the license necessitated by the financial
					 change.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.6 - Minutes of meetings of boards and committees

Current through Register Vol. 46, No. 28, July 10, 2024
Each video lottery gaming agent licensee or applicant
						thereof shall file with the commission copies of the minutes of all meetings of
						such licensee or applicant's board of directors, members or partnership
						executive committee, as applicable, and of all committee meetings including,
						without limitation, the audit committee, within seven days of their formal
						adoption.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.7 - Records regarding ownership

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
					 In addition to other records and information required by these regulations,
					 each video lottery gaming agent and/or the managing agent for the video lottery
					 gaming facility shall maintain and keep current the following records regarding
					 the equity structure and owners:
(1) If a
					 corporation:
(i) a certified copy of articles
					 of incorporation and any amendments thereto;
(ii) a copy of by-laws and amendments
					 thereto;
(iii) an incumbency list
					 of officers and directors;
(iv)
					 minutes of all meetings of stockholders and directors;
(v) a current list of all stockholders and
					 stockholders of affiliates, including their names and the names of beneficial
					 owners of shares held in street or other name where any beneficial owner has a
					 beneficial interest in two percent or more of the outstanding shares of any
					 class, addresses, and the number of shares held by each and the date
					 acquired;
(vi) a complete record of
					 all transfers of stock;
(vii) a
					 record of amounts paid to the corporation for issuance of stock and other
					 capital contributions and dates thereof;
(viii) a record, by stockholder, of all
					 dividends distributed by the corporation; and
(ix) a record of all salaries, wages, and
					 other remuneration (including prerequisites), direct and indirect, paid during
					 the calendar or fiscal year, by the corporation, to all officers, directors,
					 and stockholders with an ownership interest at any time during the calendar or
					 fiscal year, equal to or greater than five percent of the outstanding capital
					 stock of any class of stock.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.8 - Continuing obligation to notify commission of violations and criminal activities

Current through Register Vol. 46, No. 28, July 10, 2024
Each licensee under these regulations shall have the
						continuing obligation to report to the commission any regulatory or criminal
						violation that becomes known to them with respect to any aspect of video
						lottery gaming in this State or their gaming activities in any other
						jurisdiction. The failure of any licensee to report any such regulatory or
						criminal violation to the commission shall be a violation of such license, the
						act and these regulations.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5114 - Continuing Obligations Of Video Lottery Gaming Agents › Section 5114.9 - Sale of other lottery games

Current through Register Vol. 46, No. 28, July 10, 2024
Each video lottery gaming agent will offer for sale to
						the public and any player at the video lottery gaming facility all lottery
						games offered for sale by the commission, and will provide to the commission
						adequate and appropriate space for such sales as approved by the
						commission.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.1 - General

Current through Register Vol. 46, No. 28, July 10, 2024
In addition to any requirements of the act and these
						regulations, by reason of the substantial investment of State revenue in each
						video lottery gaming facility, each video lottery gaming agent agrees upon
						acceptance of such agent's license and operation certificate that for so long
						as the video lottery gaming facility is in operation, either by such agent, the
						commission or the commissions' designee, the commission shall have unfettered
						access to the video lottery gaming facility to assure such facilities'
						uninterrupted operation.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.2 - Standards for issuance

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each
					 video lottery gaming agent, and/or such agent's managing agent, responsible for
					 the operation of a video lottery gaming facility shall obtain an operation
					 certificate from the commission prior to conducting video lottery gaming in
					 such facility and prior to opening such video lottery gaming facility to the
					 public. The operation certificate may be amended from time to time as
					 required.
(b) To obtain an
					 operation certificate, each video lottery gaming agent shall establish to the
					 satisfaction of the commission that:
(1) the
					 video lottery gaming facility complies in all respects with the applicable
					 requirements of the act and these regulations;
(2) the video lottery gaming licensee has
					 implemented necessary internal control procedures for the safe and efficient
					 operation of the video lottery gaming facility;
(3) the video lottery gaming agent and each
					 of such agent's principals has complied with the licensing provisions of these
					 regulations;
(4) the commission has
					 been provided proof that all employees are licensed for the performance of
					 their respective responsibilities;
(5) the video lottery gaming facility is
					 prepared in all respects to receive and entertain the public;
(6) the facility of the video lottery gaming
					 agent has met or exceeded State and local fire and safety standards;
					 and
(7) the video lottery gaming
					 agent has provided certified payroll records establishing to the satisfaction
					 of the commission that it has complied with the requirements of the act, if
					 applicable.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.3 - Video lottery gaming facility

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In
					 addition to any other requirements required by the act or these regulations, in
					 order to receive an operation certificate from the commission, the applicant
					 for a video lottery gaming agent license must satisfy the commission that the
					 proposed facility will have adequate support facilities as required by these
					 regulations, as well as superior consumer amenities and conveniences comparable
					 to other similar facilities in the industry that will encourage repeated player
					 attendance.
(b) All video lottery
					 gaming facilities shall provide sufficient alternate power sources to permit
					 continued operation of the facility in case of the failure of primary power
					 supplies.
(c) In the event the
					 video lottery gaming agent proposes to conduct video lottery gaming, or to
					 house an amenity thereto, in a temporary structure, and in addition to any
					 other requirements required by these regulations for the commission to issue an
					 operation certificate for such structure, the video lottery gaming agent must
					 demonstrate to the satisfaction of the commission that conducting video lottery
					 gaming, or housing such an amenity, in the proposed temporary structure will be
					 to the economic benefit to the video lottery gaming facility.
(d) Each video lottery gaming facility shall
					 include separate offices of sufficient size for use by the commission and
					 otherwise built in accordance with specifications provided by the
					 commission.
(e) The commission
					 shall not approve the construction or alteration of any facility or building
					 devoted to the operation or housing of video lottery gaming until the person or
					 entity selected to operate such video lottery gaming shall have submitted to
					 the commission a statement of the location of the proposed facility or
					 building, together with a plan of such racetrack, and plans of all existing
					 buildings, seating stands and other structures on the grounds of such
					 racetrack, in such form as the commission may prescribe, and such plans shall
					 have been approved by the commission. The commission, at the expense of the
					 applicant, may order such engineering examination thereof as the commission may
					 deem necessary. Such construction or alteration may be made only with the
					 approval of the commission and after examination and inspection of the plans
					 thereof and the issuance of a permit therefore by the commission.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.4 - Parking

Current through Register Vol. 46, No. 28, July 10, 2024
Each video lottery gaming agent shall submit to the
						commission for review and approval a plan for parking at the video gaming
						facility that provides sufficient parking, in accordance with applicable State
						and Federal laws, rules and regulations.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.5 - Video lottery gaming floor and any restricted areas

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Prior to the issuance of or an amendment
					 to an operation certificate and the commencement of video lottery gaming, each
					 video lottery gaming agent shall obtain commission approval for the physical
					 floor plans of such agent's video lottery gaming floor including any restricted
					 areas, which floor plans shall be consistent with standards established by the
					 commission. Without limitation, such floor plans shall illustrate proper
					 surveillance coverage of all the mandatory activities. Any deficiency in
					 surveillance coverage shall be rectified by the video lottery gaming agent
					 prior to issuance of a certificate.
(b) Each physical video lottery gaming
					 facility floor plan shall be drawn to one-eighth inch scale or such other scale
					 approved in writing by the commission, shall be certified by an architect or
					 other suitable professional licensed to practice in New York and shall depict,
					 at a minimum, the location of the following:
(1) vault and main bank;
(2) cashiers' cage and the component offices
					 and areas of the cashiers' cage;
(3) window at the cashiers' cage, noting such
					 window's number;
(4) count
					 room(s);
(5) delivery
					 station;
(6) video lottery gaming
					 self-redemption kiosk(s);
(7) coin
					 redemption kiosk(s);
(8) automated
					 teller machine(s);
(9) bill
					 breakers;
(10) allocated space for
					 the sale of other commission products;
(11) the precise space allotted for each
					 video lottery terminal, site controller and associated equipment. The initial
					 floor plan shall contain, at the minimum, the following information for each
					 terminal:
(i) type of video lottery terminal,
					 e.g., upright or slant top
(ii) the
					 location of a player stool, if any;
(12) each satellite cage and the component
					 offices and areas of each satellite cage;
(13) each other room or area that is
					 accessible directly from the video lottery gaming floor;
(14) each other area or room as designated by
					 the commission; and
(15) points of
					 access to the horse racing track portion of the racing facility.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.6 - Movement of video lottery gaming terminals

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Whenever a video lottery gaming agent
					 proposes that video lottery terminals be moved within a video lottery gaming
					 facility, the video lottery gaming agent shall first:
(1) obtain any amendment to such agent's
					 operation certificate required by the commission; and
(2) provide the commission and the
					 appropriate video lottery gaming vendor with written notice at least five days
					 prior to the scheduled movement. Under no circumstances shall terminals be
					 moved until the commission has approved the relocation plans.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.7 - Removal of video lottery gaming equipment

Current through Register Vol. 46, No. 28, July 10, 2024
(a) When a video lottery terminal is
					 temporarily removed from the video lottery gaming floor, video lottery terminal
					 drop contents shall be protected in accordance with the approved internal
					 control system to preclude the misappropriation of stored funds.
(b) When a video lottery terminal is
					 permanently removed from the video lottery gaming floor, the video lottery
					 terminal drop contents shall be counted and recorded by at least two employees,
					 one of whom shall be a video lottery gaming count room employee, with
					 appropriate documentation being routed to the accounting department for proper
					 recording and accounting.
(c) Prior
					 to the removal of a video lottery terminal from the video lottery gaming
					 facility, prior written approval shall be obtained from the commission.
					 Documentation providing the following shall be included for each removed video
					 lottery terminal:
(1) manufacturer;
(2) serial number of video lottery
					 terminal;
(3) video lottery
					 terminal identification number.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.8 - Operation certificate; effective date; duration

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Upon satisfaction of the requirements set
					 forth in this Part, the commission shall establish the effective date of each
					 operation certificate and authorize the video lottery gaming agent to commence
					 operation of the video lottery gaming facility.
(b) Subject to the commission's authority to
					 revoke, suspend, limit or otherwise alter an operation certificate in
					 accordance with the terms of the act and these regulations, each such
					 certificate, once issued, shall remain in full force and effect indefinitely
					 under such terms and conditions as the commission may impose, and shall not be
					 altered, modified or amended except in accordance with the act and these
					 regulations.
(c) The continued
					 effectiveness of each operation certificate shall be a prerequisite for the
					 video lottery gaming facility to which it applies to remain open to the public
					 for the operation of video lottery gaming.
(d) Each video lottery gaming agent to which
					 an operation certificate is issued shall operate such agent's video lottery
					 gaming facility strictly in accordance with the terms of such agent's original
					 operation certificate and the approved floor plans submitted in support
					 thereof, and shall not change any of the items to which the operation
					 certificate applies except in accordance with the act and these regulations and
					 after obtaining any required amendments to such agent's operation
					 certificate.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5115 - Video Lottery Gaming Agent Operation Certificate › Section 5115.9 - Operation certificate; amendment to conform to approved changes

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each video
					 lottery gaming agent shall serve on the commission, in a manner and in a format
					 prescribed by the commission, an application to amend such agent's operation
					 certificate whenever the video lottery gaming agent proposes a physical change
					 to the video lottery gaming facility or a restricted area that requires
					 commission approval in order for such agent's original operation certificate or
					 any approved amendments thereto to continue in force and effect. The
					 application for an amended certificate shall include, without limitation, the
					 following:
(1) a revised video lottery gaming
					 facility floor plan or restricted area reflecting the proposed change, which
					 revised floor plan shall be submitted in a format approved in writing by the
					 commission and filed therewith; and
(2) a statement from an architect or other
					 suitable professional licensed to practice in New York certifying that the
					 proposed change as presented will be in compliance with State building code and
					 these regulations.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.1 - Video lottery gaming agent's marketing and promotion program

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Requirements
					 for marketing plan. In accordance with the act, each video lottery gaming agent
					 shall dedicate a portion of its vendor fee to fund a marketing and promotion
					 program to be used by such video lottery gaming agent for marketing, promotion
					 and associated costs incurred by the video lottery gaming agent for such
					 agent's video lottery gaming operations and pari-mutuel horse racing operations
					 pursuant to an approved marketing plan pursuant to this Part, so long as such
					 costs associated with parimutuel horse racing operations simultaneously
					 encourage increased attendance at such agent's video lottery gaming facilities.
All such marketing, promotion and associated costs
						incurred by any video lottery gaming agent shall be:
(1) consistent with the customary manner of
					 marketing and promoting comparable operations in other states and as described
					 in an approved marketing plan; and
(2) subject to the overall supervision of the
					 commission.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.2 - Marketing and promotion plan

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
					 Contents. Each video lottery gaming agent shall prepare annually a marketing
					 and promotion plan (the marketing plan) for the video lottery gaming facility.
					 Each annual marketing plan shall be submitted to the commission for review and
					 approval as described in this Part. An annual marketing plan shall include a
					 summary of projected net machine income and projected marketing expenditures by
					 category, in a standard worksheet format prescribed by the commission. The
					 marketing plan worksheet shall include budgeted marketing expenditures by month
					 and in total for each standard category. The commission shall review such
					 worksheet as part of the overall plan approval.
(b) Violation. The failure to submit any
					 marketing plan when due to the commission shall be a violation of the video
					 lottery gaming agent's license, the act and this Part.
(c) Requirements. Each annual marketing plan
					 shall :
(1) be prepared in accordance with the
					 format prescribed by the commission; and
(2) fully describe, in a narrative form,
					 subject to the approval of the commission, the marketing and promotional
					 activities that the video lottery gaming agent proposes for the applicable
					 video lottery gaming facility for the subsequent 12-month period commencing on
					 the first day of January of any calendar year. Such description shall include
					 the overall strategy of how the portion of the vendor's fee used to fund the
					 marketing and promotion program will be used for marketing, promotional and
					 associated costs consistent with the customary manner of marketing and
					 promoting comparable operations in the video lottery gaming entertainment
					 industry in other states that are expected to be implemented at such video
					 lottery gaming facility on a monthly, quarterly and annual basis ; the target
					 market for such marketing and promotion ; the anticipated effect (return on
					 investment) of the marketing, promotional and associated costs described; any
					 and all media buys advertising the video lottery gaming facility, whether
					 directly or indirectly; and an itemization of the projected budget for all
					 marketing and promotional expenses on a monthly, quarterly and annual
					 basis.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.4 - Marketing and promotion plan implementation

Current through Register Vol. 46, No. 28, July 10, 2024
(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 a 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.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.5 - Permitted marketing and promotion expenses

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Permissible expenses. The following
					 qualified marketing expenses incurred by a video lottery gaming agent pursuant
					 to an approved marketing plan pursuant to this Part shall be permitted :
(1) advertising;
(2) complimentary services;
(3) promotions;
(4) group sales:
(5) direct mail expenditures;
(6) player's club expenses, except as
					 otherwise provided in section
					 5116.9 of this Part;
(7) entertainment costs;
(8) personal Service Costs for the number and
					 type of positions authorized by the commission as allowable;
(9) such other marketing expenses for which
					 advance approval is specifically requested in writing and subsequently approved
					 by the commission or otherwise described in official guidance released by the
					 commission from time to time and subject to audit by the commission.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.6 - Advertising

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Advertising
					 generally.
(1) The content or concept of all
					 advertising and any advertisement shall be provided as prescribed by the
					 commission.
(2) A video lottery
					 gaming agent shall be responsible for all advertising and advertisements that
					 are made by the agents or representatives of such video lottery gaming agent,
					 regardless of whether the video lottery gaming agent participated directly in
					 such advertising's development, preparation, placement or
					 dissemination.
(3) Issuance of a
					 video lottery gaming agent license pursuant to these regulations permits
					 conducting video lottery gaming in a manner approved by the commission. Use of
					 any name, logo or design owned by the commission or the video lottery gaming
					 machine manufacturers without a valid license may constitute a violation of
					 Federal and State copyright and trademark laws. Permitted use of the logo by a
					 licensee must be in compliance with approved guidelines.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.8 - Promotions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Information
					 about promotions. Each video lottery gaming agent shall include in its
					 marketing plan a description of each anticipated promotion, the cost of such
					 promotion, the benefit for holding such promotion, the timing of such
					 promotion, and any other information helpful to the commission in considering
					 the approval of such promotion.
(b)
					 Costs of promotions. The actual and necessary costs of each promotion shall be
					 funded from the marketing and promotion program as approved by the
					 commission.
(c) Advertising
					 content. The video lottery gaming agent shall submit such boards and proposed
					 images to the commission, as.
(d)
					 Competitive bidding. The commission may require competitive bidding at
					 particular dollar levels of purchasing for any promotion.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.9 - Player rewards club

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each video
					 lottery gaming agent licensed by the commission shall prior to start-up engage
					 the services of a video lottery gaming vendor to provide such facility with a
					 player rewards club system or the agent may provide such system.
(b) Any player rewards club system
					 established pursuant to a marketing plan shall be open to any member of the
					 public who is playing the authorized video lottery game at which the
					 complimentary service is being offered. In addition, any system shall require
					 the video lottery gaming agent to establish and maintain a system of detailed
					 internal control procedures controlling the player rewards club program, prior
					 to the implementation of such program, which procedures shall be maintained by
					 a designated department approved by the commission; provided, however, that if
					 complimentary goods or services will be issued based upon the occurrence of an
					 event that may occur in the normal conduct of a video lottery game, the video
					 lottery gaming agent shall submit for commission approval, in writing, a
					 description of the internal control procedure governing the issuance of a
					 complimentary, at least 10 days prior to the commencement of the program. Such
					 approval shall be deemed to have been granted if it is not denied, in writing,
					 within the 10-day period, and, provided, that such internal control procedures
					 shall address, at a minimum:
(1) the period
					 of time that the program will be offered. However, nothing herein shall
					 prohibit the video lottery gaming agent from offering a program for an
					 indefinite period of time, subject to termination upon 24 hours' notice, in
					 writing, to the commission;
(2) the
					 video lottery game at which the complimentary good(s) or service(s) will be
					 issued;
(3) the internal control
					 procedures for determining how the winners of the complimentary good(s) or
					 service(s) shall be determined;
(4)
					 a description of the type and value of complimentary good(s) or service(s) that
					 will be issued; and
(5) the
					 procedures by which the video lottery gaming agent will pay cash or
					 complimentary good(s) or service(s) or deliver non-cash item(s).
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.10 - Non-permitted marketing and promotion expenses

Current through Register Vol. 46, No. 28, July 10, 2024
The following expenses incurred by a video lottery gaming
						agent shall not be included in the marketing and promotion program under any
						circumstance:
(a) payroll expenses
					 incurred in the ordinary course of operating the video lottery gaming facility
					 that are not marketing related;
(b)
					 general office equipment and services, such as telephone, office supplies,
					 photocopying, subscriptions, travel and other dues that are not marketing
					 related;
(c) except as otherwise
					 permitted by the Act, the actual cost of any management fee paid by the video
					 lottery gaming agent to any vendor engaged to operate the video lottery gaming
					 facility on a daily basis;
(d)
					 expenses that are borne ultimately by licensed video lottery terminal vendors;
					 or
(e) rebates of cash to any
					 vendor, vendee or other third party.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5116 - Marketing and Promotion Program › Section 5116.11 - Competitive bids

Current through Register Vol. 46, No. 28, July 10, 2024
The actual monthly cost of any marketing or promotion
						expense shall be permitted as set forth in the commission-approved marketing
						plan, provided that, if applicable, the video lottery gaming agent shall
						competitively bid any marketing or promotion expense or program in excess of
						$50,000 and demonstrate to the commission's satisfaction that the cost for such
						vendor is the lowest available proposal that satisfied the technical
						requirements of the bid or demonstrated to the commission's satisfaction that
						costs in excess of those of the lowest bidder are outweighed by the benefits of
						the chosen bidder. Certain sole source and professional services may be
						excluded from the competitive bid requirements. Any firm or company exempt from
						competitive bidding must be at arm's length from the
						facility.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter IV - Division of Gaming › Subchapter A - Video Lottery Gaming › Part 5117 - RESTRICTIONS AT FACILITIES › Section 5117.1 - Underage gaming violations

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No
					 video lottery gaming agent, representative, licensed employee or contractor
					 thereof, shall allow, permit or suffer any person under the age of 18 years
					 (underage person) to:
(1) participate as a
					 player at any game in a video lottery gaming facility;
(2) receive any complimentary service(s) or
					 item(s) as a result of, or in anticipation of, such person's gaming
					 activity;
(3) be present on the
					 gaming floor without the escort of a licensed video lottery facility employee
					 and for longer than necessary to reach a destination that is not on the gaming
					 floor.