reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.11 - Ticket sale occurrence

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Receipt is not a ticket.
No courier customer request for courier
					 service and no receipt or acknowledgment of any such request constitutes
					 evidence of a validly issued lottery ticket. A ticket, in order to be a validly
					 issued ticket, shall be generated by a lottery terminal authorized by the
					 commission or be a printed instant ticket produced by the commission for sale.
					 A ticket is not deemed validly issued when a request for purchase is made of a
					 courier service, when such a request is acknowledged or when a courier customer
					 makes a payment to a courier service.
(b)
Required disclosures to courier
					 customers.
A courier service shall disclose prominently on such
					 licensee's network:
(1) the text of
					 subdivision (a) of this section;
(2)
					 the text of subdivision (c) of section
					 5004.9 of this
					 subchapter;
(3) the text of section
					 5006.6 of this
					 subchapter;
(4) a warning to
					 customers to take care to ensure the safekeeping of lottery tickets and not to
					 risk claim complications by disseminating images of purchased
					 tickets;
(5) that the commission is
					 not responsible for the courier service's failure to deliver or delay in
					 delivering any lottery ticket to a courier customer; and
(6) that the commission is not responsible
					 for any acts, omissions or errors a courier service may make that cause a
					 lottery ticket to fail to meet the commission's ticket validation
					 requirements.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.12 - Courier service fulfillment

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Time requirements.
(1)
					 Completion of ticket processing. For each request for courier services through
					 a network placed during normal business hours, a courier service shall complete
					 ticket processing by:
(i) the sooner of 30
					 minutes before the relevant drawing cutoff or within 24 hours of the placement
					 of the request, for a draw game ticket; or
(ii) within 24 hours of the placement of the
					 request, for an instant lottery game ticket available for sale by a lottery
					 sales agent.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.13 - Ticket ownership

Current through Register Vol. 46, No. 28, July 10, 2024
A courier service that purchases a lottery ticket on
						instruction from a courier customer holds such ticket in trust for such courier
						customer and acquires no ownership interest in such ticket. Notwithstanding
						such lack of ownership, a courier service may destroy a draw game lottery
						ticket so long as such courier service complies with the retention requirements
						set forth in subdivision (f) of section
						5014.12 of this
						chapter.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.14 - Notification of and payment of prizewinners

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Notification.
A licensee
					 shall notify a courier customer on whose behalf such licensee has purchased a
					 winning draw game ticket of the amount of the prize within one hour of the
					 commission's publication of the winning numbers and prize amounts. Such
					 notification shall be made electronically through the network, secure
					 electronic mail or other method approved by the commission. If the prize is
					 $600 or more, the licensee shall also notify the commission promptly of the
					 identity of the prizewinner, the prize amount, the type of game, the date of
					 the drawing and, for a draw game conducted more than once per day, the time of
					 the drawing.
(b)
Draw game
					 prizes below threshold.
For a draw game prize of less than $600, a
					 courier service shall validate the winning ticket and redeem the prize on
					 behalf of the courier customer. Such prize amount shall be disbursed to the
					 courier customer by crediting the courier customer's account, direct deposit to
					 the courier customer's bank account, redeemed for cash or by other means
					 approved by the commission.
(c)
Draw game prizes at or above threshold.
(1) For a draw game prize of $600 or more, a
					 courier service shall deliver the physical winning ticket to the courier
					 customer.
(2) A courier service
					 shall provide electronically a courier customer who is a draw game prizewinner
					 with a digitally completed prize claim form, tax withholding form and any other
					 documentation required to redeem such prize, which the courier customer may use
					 to claim the prize.
(3) A courier
					 service shall provide the commission with all information the commission may
					 request in regard to a prize of $600 or more.
(4) In all respects, payment of such draw
					 game prize shall be in accordance with Part 5002 of this Title.
(5) The commission shall not be responsible
					 for any acts, omissions or errors a courier service may make that cause a draw
					 game bet ticket to fail to meet the validation requirements set forth in
					 section 5003.2 of this Title. The
					 commission shall not pay any prize on a draw game bet ticket that does not meet
					 the validation requirements set forth in section
					 5003.2 of this
					 Title.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.15 - Audit and financial controls

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Financial statements.
(1) A
					 courier service shall provide annually to the commission, no later than 120
					 days following the end of such licensee's fiscal year, financial statements
					 audited in accordance with generally accepted auditing standards, unless the
					 commission, in writing, waives such requirement. The commission may require
					 additional financial information in a format the commission prescribes. The
					 preparation of annual or other financial statements shall be at the sole
					 expense of the licensee.
(2) In
					 addition to the licensee's audited financial statements, each courier service
					 shall submit a copy of the management letter prepared by the independent
					 Certified Public Accountant that lists any internal control or operational
					 weaknesses noted during the financial statement audit and recommendations for
					 improvement. The licensee shall prepare a response to the issues outlined in
					 the management letter that describes any corrective actions taken or planned to
					 be taken and include a copy of this response with its submission to the
					 commission.
(3) If a courier
					 service or any of its affiliates is publicly held, such licensee or affiliate
					 shall make available and provide, to the commission, written notice of any
					 report, including, without limitation, forms S-1, 8-K, 10-Q, 10-K, proxy or
					 information statements, and all registration statements required to be filed by
					 such licensee or affiliates with the United States Securities and Exchange
					 Commission or other domestic or foreign securities regulatory agency, at the
					 time of filing with such agency.
(4) The commission has the authority to
					 conduct, or to have conducted at a licensee's expense, an audit or review of
					 any of such licensee's financial controls and records.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.16 - Internal controls

Current through Register Vol. 46, No. 28, July 10, 2024
Each courier service shall submit to the commission for
						approval a written description of its initial system of internal controls prior
						to the start of operations. Such system of internal controls shall demonstrate
						to the satisfaction of the commission that such courier service has adequate
						controls in place to address data security, responsiveness to cybersecurity
						events to mitigate any negative events, recovery from cybersecurity events and
						restoration of normal operations and services, risk assessment and mitigation,
						training, access controls and identity management, systems operations and
						availability concerns, courier customer data privacy, incident response,
						disaster recovery, document retention and any other control issue the
						commission may identify.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.17 - Advertising and marketing

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Promotions in general.
A network shall offer any promotion, discount or other
						marketing feature authorized by the commission and offered by lottery sales
						agents licensed in accordance with Part 5001 of this Title. In addition, a
						courier service may offer to courier customers, at such licensee's own expense,
						any promotion, discount or other marketing feature not inconsistent with this
						Title. The commission may order a licensee to cease any promotion that the
						commission deems to be not in the best interests of the lottery program, in the
						discretion of the commission. Each licensee shall provide to each courier
						customer each promotional benefit to which such courier customer is entitled
						and shall in no case retain for such licensee's benefit any promotional benefit
						intended for a lottery player.
(b)
Promotions at lottery sales
					 agents.
A network shall be capable of promoting lottery games
						that may be available only at lottery sales agent locations, including
						advertising new instant games, as the commission may direct.
(c)
Commission website.
A network shall provide links to lottery web pages as the
						commission may direct from time to time.
(d)
Approval of announcements.
No courier service may make any announcement of a
						prizewinner, whether live or through any media, without the prior written
						approval of the commission.
(e)
Advertising restrictions.
(1) Definitions. As used in this subdivision:
(i) advertisement means any notice or
					 communication to the public or any information or statement concerning the
					 lottery or courier-service-related business presented through telecasting,
					 publication or any other means of dissemination, including electronic
					 dissemination. Social media, promotional activities content on the
					 courier-service platform, targeted communication such as newsletters and
					 alerts, press releases, and statements made about the lottery or
					 courier-service-related business are considered advertisements for purposes of
					 this subdivision; and
(ii) direct
					 advertisement means any advertisement as described in subparagraph (i) of this
					 paragraph that is disseminated to a specific individual or
					 individuals.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.18 - Courier customer complaints

Current through Register Vol. 46, No. 28, July 10, 2024
Each courier service shall maintain for a period of two
						years a record of each courier customer complaint, the inquiry or investigation
						undertaken by the licensee, action taken by the licensee to resolve the
						complaint and the final disposition of the complaint. Such records shall
						contain the original or copies of the complaint, all written communications
						between the licensee and the complainant, all documents or telephone recordings
						created in connection with a complaint and any documentation provided to the
						courier customer by the licensee. Such courier customer complaint records shall
						include:
(a) the name and address of
					 the complainant;
(b) the purpose of
					 the complaint;
(c) the date the
					 complaint was received by the courier service;
(d) the complaint denial whenever a complaint
					 is denied; and
(e) any additional
					 information used by the courier service in determining how to resolve the
					 complaint.
The courier service shall also maintain a permanent
						record summarizing the number and nature of consumer complaints and the
						resolution or outcome of such complaints.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.19 - Fees

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Service
					 charges.
The commission may grant approval to a courier service to
						charge courier customers a reasonable service charge per request for courier
						services, and not per ticket requested to be purchased on the customer's
						behalf, or other charge for service associated with use of a network and
						fulfillment of a request for services.
(b)
Other charges prohibited.
No courier service is permitted to charge any fee other
						than the service charge described in subdivision (a) of this section.
						Prohibited fees include, without limitation, any fee relating to validation of
						a winning ticket, payment of a prize or a withdrawal from a courier customer's
						account.
(c)
Service
					 charges not part of ticket price.
Any charge assessed or collected in accordance with this
						section shall not be deemed to be part of the lottery ticket price.
(d)
Refunds for tickets
					 requested but not generated.
Any fee charged for a transaction in which requested
						tickets were never generated, for whatever reason, shall be
						refunded.
New York Codes, Rules and Regulations › Title 9 - EXECUTIVE DEPARTMENT › Subtitle T - New York State Gaming Commission › Chapter III - Division of Lottery › Subchapter A - State Lottery › Part 5014 - Courier Services › Section 5014.20 - License suspension and revocation

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Grounds.
A courier service license may be suspended or
						revoked:
(1) for any of the grounds
					 set forth in Tax Law section 1607 or section
					 5001.19 of this Title, with a
					 courier service being considered a lottery sales agent for purposes of applying
					 section 5001.19 of this Title;
(2) a violation of any of the conditions and
					 requirements of licensure set forth in section
					 5014.3 of this Part; or
(3) if the commission determines that there
					 are an excessive number of courier customer complaints about such licensee,
					 with due disregard being given to complaints that are vexatious or wholly
					 without merit.
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 5100 - General Provisions, Construction And Application of Rules › Section 5100.1 - Authority; purpose

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The rules
					 and regulations governing video lottery gaming are issued under and pursuant to
					 the authority of the Lottery for Education Law (article 34 of the Tax Law) and
					 article 1 of the Racing, Pari-Mutuel Wagering and Breeding Law.
(b) The purpose of this Subchapter is to set
					 forth the manner in which the Gaming Commission shall operate video lottery
					 gaming.
(c) This Subchapter
					 pertains to video lottery gaming and is supplementary to those rules and
					 regulations of general applicability promulgated by the Gaming Commission and
					 the Division of Lottery 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 5100 - General Provisions, Construction And Application of Rules › Section 5100.3 - Construction and amendments

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
					 These regulations shall be liberally construed in accordance with generally
					 accepted principles of statutory construction, including those set forth in the
					 State General Construction Law, to permit the commission to effectively carry
					 out the commission's statutory functions.
(b) Nothing contained in these regulations
					 shall be so construed as to conflict with any provision of the act or the
					 law.
(c) In special cases and for
					 good cause shown, the commission may permit deviations from these regulations.
					 To request relief from these regulations, written application should be
					 submitted to the commission, setting forth the name, address and telephone
					 number of the requester, the license number, if applicable, the details of the
					 request, including citation to the regulation in question, and the basis for a
					 claim of good cause. Under no circumstances shall the request be granted if the
					 commission determines that granting the request would adversely impact the
					 health, safety, or welfare of the public, or that it would undermine the
					 integrity of or public confidence in video lottery gaming.
(d) These regulations may be amended by the
					 commission from time to time in accordance with the provisions of the New York
					 State Administrative Procedure Act.
(e) Whenever any provision of these
					 regulations requires that an act or event occur on a specified day or date, and
					 such day or date falls upon a Saturday, Sunday or legal holiday, such provision
					 shall be construed to refer to the next business day immediately succeeding
					 such day or date.
(f) This
					 Subchapter is intended to regulate the operation of video lottery gaming by the
					 commission and to be supplementary to all other regulations promulgated by the
					 commission for the operation of the commission's games. To the extent there is
					 a conflict between this Subchapter and other regulations promulgated by the
					 commission, this Subchapter shall prevail.
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 5100 - General Provisions, Construction And Application of Rules › Section 5100.4 - Words and terms; tense and number

Current through Register Vol. 46, No. 28, July 10, 2024
In construing the provisions of these regulations, except
						when otherwise plainly declared or clearly apparent from the context:
(a) Words in the present tense shall include
					 the future tense.
(b) Words in the
					 singular shall include the plural and the plural shall include the
					 singular.
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 5100 - General Provisions, Construction And Application of Rules › Section 5100.5 - Severability and preemption

Current through Register Vol. 46, No. 28, July 10, 2024
(a) If
					 any clause, sentence, section, subsection, paragraph, subparagraph, Chapter or
					 other portion of these regulations or the application thereof to any person or
					 circumstance shall be held to be invalid, such holding shall not affect, impair
					 or invalidate the remainder of these regulations or the application of such
					 portion held invalid to any other person or circumstances, but shall be
					 confined in its operation to the clause, sentence, section, subsection,
					 paragraph, subparagraph, Chapter or other portion thereof directly involved in
					 such holding or to the person or circumstance therein involved.
(b) Notwithstanding the provisions of any
					 other law to the contrary, no local government unit of this State may enact or
					 enforce any ordinance or resolution conflicting with any provision of the law
					 or of these regulations or with any policy of this State expressed or implied
					 herein, whether by exclusion or inclusion. The commission shall have exclusive
					 jurisdiction over all matters delegated to the commission or within the scope
					 of the commission's powers under the provisions of the law 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 5100 - General Provisions, Construction And Application of Rules › Section 5100.6 - Practice where regulations do not govern

Current through Register Vol. 46, No. 28, July 10, 2024
In any matter not governed by these regulations, the
						commission shall exercise the commission's discretion so as to carry out the
						commission's purposes.
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 5100 - General Provisions, Construction And Application of Rules › Section 5100.7 - Applicability of regulations to non-corporate entities

Current through Register Vol. 46, No. 28, July 10, 2024
For purposes of these regulations, non-corporate entities
						shall, to the extent possible, comply with all relevant requirements applicable
						to corporate entities.
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 5100 - General Provisions, Construction And Application of Rules › Section 5100.8 - Powers reserved

Current through Register Vol. 46, No. 28, July 10, 2024
All powers not specifically defined in this Subchapter
						are reserved to the commission under the laws creating the commission and
						specifying the commission's powers and duties.
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 5100 - General Provisions, Construction And Application of Rules › Section 5100.9/5100.37 - Repealed

Current through Register Vol. 46, No. 28, July 10, 2024
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 5101 - Information And Filings › Section 5101.1 - Communications; notices

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Except as
					 otherwise provided by these regulations, all papers, process or correspondence
					 relating to the commission should be addressed to or served upon the commission
					 at the commission's principal office.
(b) All such papers, process or
					 correspondence shall be deemed to have been received or served when delivered
					 to the principal office of the commission.
(c) Except as otherwise specifically provided
					 by the act or these regulations, notices from the commission will be sent to an
					 applicant or licensee by either ordinary mail or certified mail to the address
					 shown in the most recent application or change of address notice received from
					 such person. Notices shall be deemed to have been served upon their deposit,
					 postage prepaid, in the United States mail, and the time specified in any such
					 notice shall commence to run from that date.
(d) Any applicant or licensee who desires to
					 have notices mailed to an address other than that specified in the application
					 shall file with the commission a specific request for that purpose, and notices
					 will, in such case, be sent to the applicant or licensee at such
					 address.
(e) An applicant or
					 licensee will be addressed under the name and style designated in the
					 application, and separate notices will not be sent to individuals named in such
					 application unless a specific request for that purpose is filed with the
					 commission. In the absence of such a specific request, a notice addressed under
					 the name or style designated in the application shall be deemed to be notice to
					 all individuals named in such application. Applicants and licensees shall
					 immediately notify the commission of any change of address, and shall expressly
					 request that all notices be sent to the new address.
(f) Whenever possible, except as otherwise
					 provided in these regulations, all written communication and documentation
					 submitted to the commission shall be by electronic delivery.
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 5101 - Information And Filings › Section 5101.2 - Retention, storage and destruction of books, records and documents by video gaming agents

Current through Register Vol. 46, No. 28, July 10, 2024
(a) All original
					 books and records pertaining to the video lottery gaming agent's operations
					 shall be:
(1) prepared and maintained in a
					 complete, accurate and legible form;
(2) retained on the site of the video lottery
					 gaming facility or at another secure location approved in accordance with
					 subdivision (d) of this section;
(3) retained for the time period specified in
					 subdivision (c) of this section;
(4) held available for inspection by the
					 commission and the commission's designee during normal business
					 hours;
(5) organized and indexed in
					 such a manner so as to provide immediate accessibility to 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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.1 - General

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Every applicant
					 and licensee shall produce such information, documentation and assurances as
					 may be required by the commission to establish, by clear and convincing
					 evidence, such applicant or licensee's suitability for licensure in accordance
					 with these regulations. The refusal by any applicant or licensee to comply with
					 a request by the commission for any such information, documentation or
					 assurances shall be a basis for denial, revocation or disqualification of the
					 applicant or licensee.
(b) Each
					 licensee under these regulations shall have a continuing obligation, as set
					 forth in these regulations:
(1) to ensure
					 that such information, documentation and assurances submitted to the commission
					 is current; and
(2) to ensure that
					 such information, documentation and assurances, in light of the circumstances
					 in which they were made and submitted, shall not be misleading. Each licensee
					 shall submit such additional information, documentation and assurances as may
					 be necessary to meet such obligations.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.2 - Identification

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Every natural
					 person applying for a license pursuant to these regulations shall establish
					 such person's identity to the satisfaction of the commission pursuant to the
					 requirements of the license application.
(b) Any natural person may request that the
					 commission change the name designated on such person's application or license
					 by establishing appropriate identity information as required by the commission
					 including, without limitation, a certificate of marriage, a certified copy of a
					 divorce decree or other appropriate court order.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.3 - Fingerprinting

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each applicant
					 or licensee, including each of the video lottery gaming agent, video lottery
					 gaming agent principals, vendor and vendor principals, vendee and vendee
					 principals, if applicable, and key 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. The
					 commission may, for good cause shown, permit an applicant or licensee to
					 alternatively submit sets of classifiable fingerprints on fingerprint
					 impression cards provided by the commission.
(b) Nothing in this section shall relieve a
					 person who submits fingerprint sets pursuant to subdivision (a) of this section
					 from the continuing duty to disclose any criminal arrests as required by these
					 regulations.
(c) Each video lottery
					 gaming agent shall remit to the commission the actual costs of reviewing and
					 fingerprinting such agent's principals, employees and vendors, 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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.4 - Photographing

Current through Register Vol. 46, No. 28, July 10, 2024
Each applicant or licensee shall submit with their
						license application a color photograph in the format required by the license
						application and that was taken within six months of the date the application is
						submitted to 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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.5 - Handwriting exemplars

Current through Register Vol. 46, No. 28, July 10, 2024
Each applicant or licensee shall supply handwriting
						exemplar(s) in the form and manner required by the license
						application.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.6 - Minimum employee age

Current through Register Vol. 46, No. 28, July 10, 2024
No natural person under the age of 18 years shall be
						eligible to receive a license from the commission as a video lottery gaming key
						employee, video lottery gaming employee or principal of a vendor or be
						authorized as a temporary service provider.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.7 - Eligibility to work in the United States

Current through Register Vol. 46, No. 28, July 10, 2024
No natural person shall be employed as a video lottery
						gaming agent unless such person is a citizen of the United States or is
						otherwise eligible to work in the United States.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.8 - False and misleading information

Current through Register Vol. 46, No. 28, July 10, 2024
The commission may deny a license to any applicant
						who:
(a) supplies information to the
					 commission that is untrue or misleading as to a material fact; or
(b) fails to submit any statement or
					 information that would make any statement made in the application, in light of
					 the circumstances in which they were made, not misleading.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.9 - Filing

Current through Register Vol. 46, No. 28, July 10, 2024
No application for a license shall be deemed filed with
						the commission under these regulations until:
(a) all papers presented conform to all
					 requirements relating to format, signature, oath or affirmation, attorney
					 certification (if required) and copies;
(b) all appropriate application,
					 registration, business disclosure and personal history disclosure forms have
					 been properly completed and presented;
(c) all required consents, waivers,
					 fingerprint impressions, photographs and handwriting exemplars have been
					 properly presented;
(d) all other
					 information, documentation, assurances and other materials required or
					 requested at that preliminary stage pertaining to qualifications have been
					 properly presented; and
(e) all
					 required fees have been properly paid and all required surety has been properly
					 furnished.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.10 - Processing

Current through Register Vol. 46, No. 28, July 10, 2024
The commission will process only complete applications.
						The commission will notify the video lottery gaming agent's human resource
						department when an application has been accepted as complete. The processing of
						any application shall not constitute the commission's concurrence that the
						requirements of the act and these regulations have been
						satisfied.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.11 - Amendment

Current through Register Vol. 46, No. 28, July 10, 2024
It shall be the continuing duty of each applicant or
						licensee to promptly file with the commission a written amendment to the
						application explaining any new or changed facts or circumstances whenever any
						material or significant new or changed facts or circumstances occur with
						respect to any matter set forth in the application or other papers relating
						thereto. Any applicant or licensee may be permitted by the commission to file
						any other amendment to such applicant or licensee's application at any time
						prior to final action thereon by the commission. The failure of an applicant or
						licensee to comply with this section shall be grounds for rejection of the
						application or for suspension or revocation of a license.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.12 - Issuance of a license

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
					 commission shall notify the applicant or the human resource department of the
					 video lottery gaming agent in writing when a license is granted.
(b) No applicant shall commence a licensed
					 activity prior to the issuance of a license.
(c) The commission may issue a temporary
					 license to an applicant pending completion of an initial application review
					 process. Any such temporary license may be issued only if the applicant:
(1) has filed a complete application with the
					 commission;
(2) the completed
					 application, on the face of such application, discloses no grounds from which
					 it may be immediately ascertained by the commission that there are reasonable
					 grounds to deny the application; and
(3) the commission receives and reviews an
					 acceptable fingerprint report from the New York State Division of Criminal
					 Justice Services and Federal Bureau of Investigation.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.13 - Withdrawal

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Prior to a
					 final action by the commission on an application, regardless of whether a
					 temporary license has been issued, any applicant may withdraw an application
					 filed with the commission by filing a written notice of such withdrawal. Upon
					 the receipt of such notice, the commission will cease processing such
					 application, but shall retain such application and materials in accordance with
					 applicable law.
(b) The commission
					 may refrain from processing any application submitted by any applicant that has
					 previously withdrawn an application for a period of one year from the date of
					 such withdrawal.
(c) No fee or
					 other payment relating to any application shall become refundable by reason of
					 withdrawal of the application unless otherwise determined by the commission for
					 good cause shown.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.14 - Denial of a video lottery gaming license

Current through Register Vol. 46, No. 28, July 10, 2024
(a) To the extent permitted by law, the
					 commission may deny a video lottery gaming license to an applicant who has been
					 convicted of:
(1) a felony offense, as
					 defined in Penal Law section 10.00(5), or an equivalent offense committed in
					 another jurisdiction;
(2) a
					 misdemeanor related to gambling, gaming, bribery, fraud, or any other offense
					 prejudicial to public confidence in the State lottery.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.15 - Application and employment after denial or revocation

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any natural person whose application for
					 a license is denied, or whose license is suspended or revoked by reason of a
					 failure to satisfy the affirmative qualification criteria required by these
					 regulations, or due to a finding by the commission that such person is
					 disqualified, or both, may re-apply for such license at any time.
(b) Any natural person whose license
					 application was denied, or whose license was suspended or revoked by the
					 commission on the basis of any of the statutory or regulatory provisions in
					 paragraphs (1) through (4) of this subdivision, may reapply for a license upon
					 satisfaction of the relevant requirements specified below. If the denial,
					 suspension or revocation is based upon two or more of such regulatory
					 provisions, the commission shall permit reapplication only upon compliance with
					 the requirements of this subdivision as to each such provision. Any person
					 seeking to reapply pursuant to this subdivision shall file a certified petition
					 stating with particularity how the specified requirements have been satisfied.
(1) Failure to demonstrate financial
					 stability. Reapplication is permitted upon achieving financial
					 stability.
(2) Failure to satisfy
					 the age requirement. Reapplication is permitted upon attaining the requisite
					 age or upon a commission finding that such age will be attained before the
					 processing and approval of said reapplication has been completed.
(3) Pending disposition of a charge of a
					 criminal offense if the lottery has determined to deny a license application or
					 suspend or revoke a license while such charge is pending. Reapplication is
					 permitted upon disposition of the pending charge.
(4) Any statutory or regulatory provision
					 that is subsequently repealed or modified. Reapplication is permitted upon a
					 showing that the subsequent repeal or modification of the statutory or
					 regulatory provision obviates the grounds for denial or revocation and
					 justifies the conclusion that the prior determination should not be a basis for
					 denying a license application.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.16 - Assignability

Current through Register Vol. 46, No. 28, July 10, 2024
No license issued pursuant to these regulations is
						assignable by the licensee to any other person.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.17 - Temporary service providers; badges

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The video lottery gaming agent may issue
					 temporary badges to any natural person performing temporary services at a video
					 lottery gaming facility.
(b)
					 Temporary badges shall:
(1) remain the
					 property of the video lottery gaming agent;
(2) be distributed to the temporary service
					 provider upon daily arrival at the video lottery gaming facility; and
(3) be returned daily by such temporary
					 service provider to such agent at the close of the temporary service provider's
					 work shift.
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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.18 - Application to change video lottery gaming license

Current through Register Vol. 46, No. 28, July 10, 2024
A video lottery gaming licensee may apply to change the
						status of such licensee's current license by filing an application in a form
						prescribed 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 5102 - General Provisions Regarding Licensing And Registration › Section 5102.19 - Restriction on employment of a former surveillance department employee

Current through Register Vol. 46, No. 28, July 10, 2024
No former video lottery gaming agent surveillance
						department employee shall accept employment in another capacity for the video
						lottery gaming agent within the same video lottery gaming facility in which
						such surveillance department employee was previously employed or within any
						other video lottery gaming facility whose surveillance department is under the
						operational control of the same person who controlled the surveillance
						department in which the surveillance department employee had been previously
						employed, unless one year has passed since the former surveillance department
						employee worked in the surveillance department.
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 5103 - Video Lottery Gaming Agents › Section 5103.1 - Entities permitted to obtain a video lottery gaming agent license

Current through Register Vol. 46, No. 28, July 10, 2024
Unless otherwise permitted by law, only racetracks
						authorized by article 34 of the Tax Law to operate a video lottery gaming
						facility may apply for and obtain a video lottery gaming agent
						license.
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 5103 - Video Lottery Gaming Agents › Section 5103.2 - Video lottery gaming agent and principal application and disclosure form

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each owner of a
					 video lottery gaming facility is required to be licensed by the commission as a
					 video lottery gaming agent. A video lottery gaming agent application and
					 disclosure form shall be filed with the commission for each of the following:
(1) the video lottery gaming agent license
					 applicant; and
(2) each parent
					 company or holding company of the applicant.
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 5103 - Video Lottery Gaming Agents › Section 5103.3 - General information requirements

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No video lottery gaming agent license
					 shall be issued or renewed by the commission unless the applicant, and each
					 person required to be licensed as part of the application, provides all
					 information, documentation and assurances required to establish such
					 applicant's qualifications pursuant to these regulations.
(b) A video lottery gaming agent license may
					 be issued subject to such conditions, restrictions, limitations or covenants as
					 the commission, in the commission's discretion, deems necessary.
(c) Each video lottery gaming agent shall
					 prohibit the possession, use or control of gambling paraphernalia used in the
					 conduct or operation of unlawful gambling in the video lottery gaming
					 facility.