reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter D - Uniform Commercial Code › Part 143 - Standard Forms And Procedures › Subpart 143-4 - Search Requests › Section 143-4.3 - Rules applied to search requests presented to the central filing office

Current through Register Vol. 46, No. 28, July 10, 2024
(a) With respect to
					 search requests presented to the central filing office:
(1) search results are produced by applying
					 standardized search logic to the name presented by the person requesting the
					 search; and
(2) human judgment does
					 not play a role in determining the results of the search.
The central filing office applies the rules set forth in
						this section when conducting searches.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter D - Uniform Commercial Code › Part 143 - Standard Forms And Procedures › Subpart 143-4 - Search Requests › Section 143-4.4 - Examples

Current through Register Vol. 46, No. 28, July 10, 2024
Some examples of search results produced in response to
						search requests submitted to the central filing office are as follows:
(a) A search request specifying the name of
					 an individual debtor as:
Last Name:
First Name:
Middle Name:
Suffix:
Smith
John
(No entry)
(No entry)
will be processed as follows:
(1) The pre-July 1, 2001 index will be
					 searched for names that match "JOHN SMITH" or " SMITH JOHN", and will produce
					 the following results for documents filed prior to July 1, 2001:
Name as specified in filed
								  document
Result
Reason
John Smith
Retrieved
Exact match
Smith, John
Retrieved
Exact match
John Smith, Inc.
Retrieved
143-4.3(c)(4)(i)
John Smyth
Not retrieved
143-4.3(c)(7)(i)
Smyth, John
Not retrieved
143-4.3(c)(7)(i)
John A. Smith
Not retrieved
143-4.3(c)(7)(ii)
Smith, John A.
Not retrieved
143-4.3(c)(7)(ii)
John Alan Smith
Not retrieved
143-4.3(c)(7)(ii)
Smith, John Alan
Not retrieved
143-4.3(c)(7)(ii)
J. Smith
Not retrieved
143-4.3(c)(7)(iii)
Smith, J.
Not retrieved
143-4.3(c)(7)(iii)
John Smith, Jr.
Not retrieved
143-4.3(c)(7)(iv)
Smith, John, Jr.
Not retrieved
143-4.3(c)(7)(iv)
Dr. John Smith
Not retrieved
143-4.3(c)(7)(vii)
Jack Smith
Not retrieved
143-4.3(c)(7)(viii)
Smith, Jack
Not retrieved
143-4.3(c)(7)(viii)
(2) The individual debtors in the post-July
					 1, 2001 index will be searched, and the search will retrieve post-July 1, 2001
					 filings against individual debtors with "John" in the first name field, "Smith"
					 in the last name field, any name or initial (or no name or initial) in the
					 middle name field, and any entry (or no entry) in the suffix field. Such a
					 search request would not retrieve any post-July 1, 2001 filing in which the
					 debtor name is specified as "J. Smith," "John Smyth" or "Jack Smith," or any
					 post-July 1, 2001 filing against any organization.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter D - Uniform Commercial Code › Part 143 - Standard Forms And Procedures › Subpart 143-5 - Fees › Section 143-5.2 - Authorized methods of payment of fees to the central filing office

Current through Register Vol. 46, No. 28, July 10, 2024
Fees paid to the central filing office for services
						rendered under the UCC and/or article 10-A of the Lien Law may be paid by
						check, money order, approved credit card, prepaid account, or cash, subject to
						the following limitations and conditions:
(a) Fees may be paid in cash only when paid
					 in person at the central filing office.
(b) Checks or money orders should be made
					 payable to the "Department of State." Checks over $500 must be
					 certified.
(c) The central filing
					 office accepts payments using credit cards issued by approved credit card
					 issuers only. Upon request, the central filing office will provide a
					 then-current list of approved credit card issuers. A person paying a fee by
					 credit card shall provide the central filing office with the card number, the
					 expiration date of the card, the name of the approved card issuer, the name of
					 the person or entity to whom the card was issued and the billing address for
					 the card. Such information shall be provided on a credit card authorization
					 form promulgated by the central filing office and signed by an authorized user
					 of the credit card. Payment will not be deemed tendered until the credit card
					 issuer or its agent has confirmed to the central filing office that payment
					 will be forthcoming.
(d) An account
					 for prepayment of fees may be opened by submitting to the central filing office
					 an application on a form furnished by the central filing office and a deposit
					 (paid by check, money order or approved credit card) of not less than $100. The
					 prepaid account, and the use of the prepaid account to pay fees, shall be
					 subject to such terms and conditions as may be established from time to time by
					 the central filing office. Such terms and conditions may include, without
					 limitation, specification of the manner and place(s) in which a remitter's
					 prepaid account number is to be indicated on any UCC document submitted by the
					 remitter and on any facsimile cover sheet or other cover sheet submitted with
					 such UCC document. The central filing office may refuse a UCC document on the
					 ground that the required fee was not tendered if:
(1) the balance in the remitter's prepaid
					 account is insufficient to pay all applicable fee(s);
(2) the remitter fails to indicate the
					 remitter's prepaid account number in the then-required manner and place(s);
					 or
(3) the remitter otherwise fails
					 to comply with any term or condition then applicable to the remitter's prepaid
					 account.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter D - Uniform Commercial Code › Part 143 - Standard Forms And Procedures › Subpart 143-5 - Fees › Section 143-5.3 - Refunds of overpayment of fees by the central filing office

Current through Register Vol. 46, No. 28, July 10, 2024
Refunds of overpayments of fees paid to the central
						filing office under the UCC will be made in accordance with, and subject to,
						the provisions set forth in this section.
(a) No refunds will be issued for overpayment
					 of fees under the UCC in the amount of $1 or less.
(b) Refunds of overpayment of fees under the
					 UCC in the amounts of $1.01 up to and including $5 will only be made upon
					 specific written request. Such request for refund must include the name and
					 address of the debtor, and secured party or requesting party, as shown on the
					 financing statement or request for search/copy, the date of filing or
					 search/copy, and the filing or search/copy number assigned by the central
					 filing office's UCC Unit.
(c)
					 Refunds will be automatically issued for overpayment of fees under the UCC in
					 the amount of $5.01 and up.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter E - Limits On Administrative Expenses And Executive Compensation › Part 144 - Limits On Administrative Expenses And Executive Compensation (Repealed) › Section 144.4 - Limits on administrative expenses (Repealed)

Current through Register Vol. 46, No. 28, July 10, 2024
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter III - Administration › Subchapter E - Limits On Administrative Expenses And Executive Compensation › Part 144 - Limits On Administrative Expenses And Executive Compensation (Repealed) › Section 144.5 - Limits on executive compensation (Repealed)

Current through Register Vol. 46, No. 28, July 10, 2024
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
For purposes of this Part, the following terms have the
				  following meanings:
(a) "Charitable"
				means, pursuant to Article 7-A of the Executive Law (Article 7-A), all purposes
				deemed charitable under applicable federal law, philanthropic, patriotic,
				eleemosynary or for law enforcement support and any other purpose included in
				the definition of charitable organizations in Article 7-A, and any purpose
				included in Not-for-Profit Corporation Law Section 102(a)(3-b).
(b) "Charitable organization" means an
				organization that is organized and/or operated for charitable purposes, whether
				or not exempt from federal income taxation, that is required to register with
				the Attorney General pursuant to Article 7-A of the Executive Law.
(1) The term charitable organization includes
				any domestic or foreign corporation, unincorporated association or other legal
				entity, that is organized and/or operated for charitable purposes, including
				without limitation:
(i) any corporation formed
				and/or operated for charitable purposes as defined in NPCL section
				102(a)(3-b);
(ii) organizations
				exempt from federal income taxation pursuant to United States Internal Revenue
				Code (the Code) section 501(c)(3), including wholly charitable trusts;
				and
(iii) organizations exempt from
				federal income taxation pursuant to another code section that
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.2 - Applicability; filing of reports

Current through Register Vol. 46, No. 28, July 10, 2024
(a) To whom this part applies. This part
				applies to filing entities as defined in section
				146.1 of this Part. The following
				sections of this Part contain the requirements applicable to filing entities'
				duty to file reports with the Department of State.
(b) Filing of reports. Filing entities must
				submit their financial reports to the NYS Department of State, Division of
				Corporations, State Records and Uniform Commercial Code in such manner as
				prescribed by the Secretary of State. Filing entities required to file an
				Annual Financial Report with the Department of State pursuant to section 172-b 
				of the Executive Law shall file such report no later than the date such report
				is required to be filed with the New York State Attorney General's Charities
				Bureau.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.3 - Annual Financial Report

Current through Register Vol. 46, No. 28, July 10, 2024
If an Annual Financial Report delivered to the Department of
				  State for filing complies as to form with the requirements of law and the
				  filing fee required by law for such report has been paid, the report shall be
				  filed by the Department of State.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.4 - Funding Disclosure Report

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A
				qualifying 501(c)(3) entity shall file, along with the entity's Funding
				Disclosure Report, as required by section 172-e  of the Executive Law, would be
				provided to the Internal Revenue Service of the United Stated Department of the
				Treasury with a qualifying 501(c)(3) entity's application for recognition of
				exemption as a 501(c)(3), all charitable categories identified in such
				application, any narrative description of the qualifying 501(c)(3) entity's
				activities provided with such application, any supporting details to the
				narrative description provided with such application, and any specific
				activities that were or would be identified in such application.
(b) If the qualifying 501(c)(3) entity filing
				a funding disclosure report has reason to believe that public disclosure will
				cause disclosure-related harm, the qualifying 501(c)(3) entity may submit to
				the Department of State a statement of relevant facts supporting such
				assertion. Such statement of relevant facts shall indicate whether
				disclosure-related harm would stem from public disclosure of all of the in-kind
				donations to the qualifying 501(c)(3) entity and financial assistance provided
				by any the qualifying 501(c)(3) entity to one or more the qualifying 501(c)(4)
				entities, or only to a portion thereof. A statement of relevant facts shall not
				be subject to publication or public disclosure. The qualifying 501(c)(3) entity
				providing such statement of relevant fact shall also provide the Department of
				State with an email address or other manner of receiving electronic
				notification acceptable to the Department of State that will serve as the means
				of communicating a notice of intent to publish, as provided in section
				146.9 of this Part. It is the
				responsibility of the filing entity to provide the Department of State with any
				change to said email address or other approved point of contact.
(c) Certification. Each funding disclosure
				report shall be signed by an officer, director or duly authorized person and
				include the name,
(d) If a Funding
				Disclosure Report delivered to the Department of State for filing complies as
				to form with the requirements of law and the filing fee required by law for
				such report has been paid, the report shall be filed by the Department of
				State.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.5 - Financial Disclosure Report

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A qualifying 501(c)(4) entity shall file,
				along with the entity's Financial Disclosure Report, as required by section 172-f  of the Executive Law, any applicable statement of the qualifying 501(c)
				(4) entity's mission, a narrative description of the qualifying 501(c)(4)
				entity's activities that is consistent with what was or would be provided to
				the Internal Revenue Service of the United Stated Department of the Treasury
				with a qualifying 501(c)(4) entity's application for recognition of exemption
				as a 501(c)(4), and all specific activities that were or would be provided with
				such application.
(b) If the
				qualifying 501(c)(4) entity filing a Financial Disclosure Report has reason to
				believe that public disclosure will cause disclosure-related harm, the
				qualifying 501(c)(4) entity may submit to the Department of State with the
				qualifying 501(c)(4)'s report a statement of relevant facts supporting such
				assertion. Such statement of relevant facts shall indicate whether
				disclosure-related harm would stem from public disclosure of all of the in-kind
				donations to the qualifying 501(c)(3) entity and financial assistance provided
				by any the qualifying 501(c)(3) entity to one or more the qualifying 501(c)(4)
				entities, or only to a portion thereof. A statement of relevant facts shall not
				be subject to publication or public disclosure. The qualifying 501(c)(4) entity
				providing such statement of relevant fact shall also provide the Department of
				State with an email address or other manner of receiving electronic
				notification of intent to publish, as provided in section
				146.9 of this Part. It is the
				responsibility of the filing entity to provide the Department of State with any
				change to said email address or other approved point of contact.
(c) Certification. Each Financial Disclosure
				Report shall be signed by an officer, director or duly authorized person and
				include the name, address, and capacity in which such person signs such
				report.
(d) If a Financial
				Disclosure Report delivered to the Department of State for filing complies as
				to form with the requirements of law and the filing fee required by law for
				such report has been paid, the report shall be filed by the Department of
				State.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.6 - Manner of filing; fees

Current through Register Vol. 46, No. 28, July 10, 2024
(a) All
				submissions may be filed electronically.
(b) Identification of Filings. Identifying
				information, including the organization or entity name and, if applicable, the
				registration number assigned by the Attorney General, must be placed on all
				correspondence and other documents, including payments, submitted to the
				Department of State.
(c) Fees.
				Filing entities are required to pay the filing fee required by law for each
				report or document delivered to the Department of State for filing under
				Executive Law Article 7-A.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.7 - Additional Information or Documentation

Current through Register Vol. 46, No. 28, July 10, 2024
In addition to any documents a qualifying 501(c) (3) entity
				  or qualifying 501(c)(4) entity must file with the Department of State as part
				  of or with any report required by Article 7-A of the Executive Law, the
				  Department of State may require a filing entity to submit any information or
				  documentation relevant to the Secretary of
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.8 - Examination of Reports

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Notice
				of Intent to Publish. Should the Secretary of State determine that the nature
				and extent of a covered entity's in-kind support to other entities or the
				nature and extent of a covered entity's spending on covered communications is
				inconsistent with the charitable purposes of such covered entity, the Secretary
				of State shall notify the filing entity of the intent to publicly disclose all
				or part of any relevant report. Such Notice of Intent to Publish shall identify
				the report(s) for which publication is contemplated, indicate whether the
				filing entity failed to provide a statement of fact relating to
				disclosure-related harm, or that a filing entity has provided a statement of
				fact relating to disclosure-related harm, and that the Secretary has determined
				that the facts provided in such statement fail to demonstrate that public
				disclosure of all or any part of a report required to be filed with the
				Department of State pursuant to Article 7-A of the Executive Law will cause
				disclosure-related harm.
(b)
				Appeal. If the filing entity wishes to administratively appeal the Secretary's
				determination, the filing entity shall notify the Secretary of State within 30
				days of the Secretary's transmission of Notice of Intent to Publish. Failure to
				provide timely notice of intent to appeal shall be deemed consent by the filing
				entity to publication of the subject report.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.9 - Administrative Hearings

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Scope
				of this section. The provisions of this section shall apply only to an appeal,
				pursuant to sections 172-e and 172-f  of the Executive Law, to an independent
				judicial hearing officer who is unaffiliated with the Department of State, as
				to whether a determination by the Secretary of State that relevant facts
				presented by the cause disclosure-related harm, and which, in conjunction with
				section 93-a  of the Executive Law, authorizes public disclosure of funding and
				financial disclosure reports.
(b)
				Applicability. Administrative hearings shall be conducted in conformity with
				SAPA Article 3 and the provisions of this section. No provision of Part 400 of
				Title 19 of the New York Codes, Rules and Regulations shall be applicable to
				hearings conducted pursuant to this Part.
(c) Parties and appearances.
(1) Parties. The party commencing an appeal
				shall be known as the appellant. The Secretary of State shall be known as the
				respondent. After an appeal is commenced in accordance with these rules, no
				party shall be joined or permitted to intervene, except by leave or direction
				of the administrative hearing officer.
(2) Appearances.
(i) A filing entity shall be represented
				through one or more officers of the filing entity or an attorney representing
				the entity. Any representative of a party who is other than an attorney
				licensed to practice in New York State shall disclose such person's authority
				to make legal decisions that bind the party. All persons appearing before the
				administrative hearing officer shall conform to the standards of conduct
				required of attorneys appearing before the courts of the State of New York. Any
				person signing any papers submitted in or entering an appearance in any
				proceeding shall be considered to have agreed to conform to those standards. A
				failure to conform to those standards shall be grounds for exclusion from that
				and any later proceeding. Nothing in this paragraph authorizes a non-lawyer to
				engage in the practice of law. the administrative hearing officer to show and
				state on the record the person's authority to act in such capacity and to file
				a notice of appearance with the administrative hearing officer.
(iii) If there is a change or withdrawal of a
				party's attorney or authorized representative, the party shall provide notice
				of the change or withdrawal to the administrative hearing officer and the
				attorneys or authorized representatives of all other parties, or, if a party
				appears without an attorney or authorized representative, to the party within
				ten (10) days of the change or withdrawal.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.10 - Publication of Reports

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Whenever a filing entity fails to provide the Department of State with a
				statement of relevant facts pursuant to subdivision (b) of section
				146.4 or
				146.5 of this Part, upon
				expiration of the time for a filing entity to provide the Secretary with notice
				of intent to appeal a Notice of Intent to Publish any report filed with the
				Department of State, or whenever the Secretary makes a determination under
				section 93-a  of the Executive Law, the Secretary may publish any report filed
				with the Department of State pursuant to Article 7-A of the Executive Law, and
				the mission statement provided by the filing entity, on its website.
Such publishing shall not include the names and addresses of
				  individual donors to filing entities nor shall such publishing include a filing
				  entity's Internal Revenue Service Form 990 Schedule B.
(b) Pursuant to section 93-a  of the Executive
				Law, only a report or part of any report filed with the Department of State
				that was published pursuant to subdivision (a) of this section shall be made
				publicly available or disclosed when requested under Article 6 of the Public
				Officers Law. No information provided in a statement of relevant facts pursuant
				to subdivision (b) of section
				146.4 or
				146.5 of this Part shall be
				subject to public disclosure when requested under Article 6 of the Public
				Officers Law.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 146 - Charitable and Non-Charitable Non-Profit Organization Filings Pursuant to Article 7-A of the Executive Law › Section 146.11 - Severability

Current through Register Vol. 46, No. 28, July 10, 2024
be invalid, such invalidity shall not affect any other
				  provisions or applications of this Part that may be given effect without the
				  invalid provisions or applications. The provisions of this Part are thus
				  declared to be severable.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.1 - Document size and backer

Current through Register Vol. 46, No. 28, July 10, 2024
All paper documents offered for filing must include a backer,
				  thereon which appears the exact title of the document and the name and address
				  of the filer. The backer for documents related to an entity currently on file
				  with the division must include the Department of State identification number
				  assigned to the entity. Documents on paper shall be no larger than 81/2 inches
				  by 11 inches. Documents not on paper, where allowed, shall be of a size and in
				  a medium consistent with the technology used by the Department of State to
				  receive, make, and retain the resulting record. Title on the backer must be
				  consistent with the content of the document.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.2 - Legibility and riders

Current through Register Vol. 46, No. 28, July 10, 2024
The department shall decline to file any document that is not
				  legible because the paper weight, ink color, font size, type face, extraneous
				  marks, file format or other quality impairs the ability to make an official
				  record. Documents shall contain no riders other than tax consents and official
				  certificates.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.3 - Separate filing fees

Current through Register Vol. 46, No. 28, July 10, 2024
If several documents are submitted, each should be
				  accompanied by a separate remittance of the respective fee and taxes, if any.
				  Because some documents may take different courses in processing, following this
				  practice will avoid delay that might otherwise result in the return of all
				  documents even though one or more would have been acceptable for
				  filing.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.5 - Duplicate receipts

Current through Register Vol. 46, No. 28, July 10, 2024
The department shall not issue duplicate receipts except on
				  satisfactory evidence that the original was never received. A request for a
				  duplicate receipt must be made within three months of the date of the receipted
				  transaction. All duplicate receipts will be annotated as
				  such.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.6 - Refunds of overpayment of fee

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No refund for overpayment of fees will be
				made in the amount of one dollar or less.
(b) Refunds for overpayment of fees paid in
				the amounts of $1.01 up to and including $5 will only be made upon specific
				written request. Such request for refund must state the name and address of the
				payer of the overpayment, the name of the organization for which the
				overpayment was made, and the date and cash number of the transaction as
				reflected on the receipt issued by the Division of Corporations.
(c) Refunds for overpayment of fees will
				automatically be issued in the amounts of $5.01 and up.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.7 - Copies and certificates

Current through Register Vol. 46, No. 28, July 10, 2024
A request for a copy of a record or a request for a
				  certificate shall be in writing. The request shall specify, by name of
				  organization and document, the record to be copied or the certificate
				  desired.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 150 - Filing Certificates › Section 150.8 - Filing date

Current through Register Vol. 46, No. 28, July 10, 2024
The date of filing of a certificate or other instrument
				  submitted to the Division of Corporations for filing shall be the date the
				  certificate or other instrument is received by the Division as determined by
				  the Division.
If a certificate or other instrument is determined by the
				  Division to be unacceptable for filing, the Division may return the certificate
				  or other instrument to the filer, together with a brief written explanation of
				  the reason for the refusal to file. If the filer returns the certificate or
				  other instrument to the Division with revisions within 30 days after it was
				  mailed or otherwise returned to the filer by the Division and the Division
				  determines the certificate or other instrument is acceptable for filing, the
				  filing date of the instrument will be the filing date that would have been
				  applied had the original certificate or other instrument not been deficient.
				  Revisions to the certificate or other instrument shall be limited to the reason
				  for the Division's refusal to file the certificate or other instrument.
If a certificate or other instrument which has previously
				  been determined by the Division to be unacceptable for filing is returned to
				  the Division with revisions within the time required by this section and the
				  Division again determines the certificate or other instrument to be
				  unacceptable for filing, the Division may return the certificate or other
				  instrument to the filer, together with a brief written explanation of the
				  reason for the refusal to file. If the filer subsequently returns the
				  certificate or other instrument to the Division with revisions in accordance
				  with the rules of the Division within 30 days after it was last mailed or
				  otherwise returned to the filer by the Division, and the Division determines
				  the certificate or other instrument is acceptable for filing, the filing date
				  of the certificate or other instrument will be the filing date that would have
				  been applied had the original certificate or other instrument not been
				  deficient. Revisions to the certificate or other instrument shall be limited to
				  the reason for the Division's refusal to file the certificate or other
				  instrument. This procedure may continue until the certificate or other
				  instrument is either accepted for filing by the Division or the filer does not
				  return the certificate or other instrument to the Division within the time
				  period required by this section.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 153 - Political Consultant Filings › Section 153.2 - Registration of certain service providers

Current through Register Vol. 46, No. 28, July 10, 2024
Every political consultant shall, within ten days of the
				  close of the applicable reporting period, unless otherwise directed by the
				  Department, file with the Department the registration form prescribed by this
				  Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 153 - Political Consultant Filings › Section 153.3 - Registration form

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Every
				political consultant shall file with the Department a registration form which
				shall include the following information:
(1)
				the name, address, and telephone number of the political consultant;
(2) the name, address, and telephone number
				of each sitting elected public official, candidate for elected public office,
				and person nominated for elected public office who the political consultant
				provided political consulting services to;
(3) the name, address, and telephone number
				of each client who retains or hires a political consultant in the preceding
				calendar year provided, that in the event the client is an entity, at least one
				natural person who has a controlling interest in such entity shall be
				identified;
(4) a brief description
				of the nature of the political consulting services provided to each identified
				client; and
(5) such other
				information as directed by the Department.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 153 - Political Consultant Filings › Section 153.4 - Civil penalties

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Notwithstanding any other law or rule to the contrary, the Department shall,
				before imposing any civil penalty, notify the political consultant in writing
				that the registration form required by this Part was not filed and shall afford
				the political consultant an opportunity to be heard in person or by counsel at
				an administrative hearing. Such notification shall be served personally or by
				certified mail to the political consultant's last known address or in any
				manner authorized by the civil practice law and rules.
(b) Administrative hearings held pursuant to
				this Section shall be conducted by the Department's Office of Administrative
				Hearings pursuant to Part 400 of Title 19 of the NYCRR and subject to the rules
				provided therein.
(c) Any notice
				issued pursuant to this Section shall be served at least ten days prior to the
				date set for the administrative hearing.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 154 - Expedited Handling Services › Section 154.1 - Availability

Current through Register Vol. 46, No. 28, July 10, 2024
Expedited handling of requests to the Division of
				  Corporations is available where statute authorizes the collection of an
				  additional fee for the purpose.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 154 - Expedited Handling Services › Section 154.3 - Fee

Current through Register Vol. 46, No. 28, July 10, 2024
All requests must be accompanied by the prescribed fee at the
				  time of the submittal of the certificate or other instrument or request for
				  service. Failure to include said fee shall render the request for expedited
				  handling void. The fee for expedited handling shall be payable separately.
				  Where a certificate or other instrument was submitted to the Division with the
				  prescribed fee for expedited handling and the Division determined the
				  certificate or other instrument was not acceptable for filing, the revised
				  certificate or other instrument may be re-submitted to the Division by the
				  filer without the payment of the prescribed expedited handling fee and such
				  certificate or other instrument will be processed by the Division pursuant to
				  the original request for expedited handling, provided such certificate or other
				  instrument is re-submitted to the Division within 30 days after it was last
				  mailed or otherwise returned to the filer by the Division. Each request to file
				  a certificate or other instrument will require a separate expedited handling
				  fee. A single request which includes multiple services related to a single
				  entity and no more than one request to file a certificate or other instrument
				  will require only one expedited handling fee.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 154 - Expedited Handling Services › Section 154.4 - Requests by mail

Current through Register Vol. 46, No. 28, July 10, 2024
Requests by mail, email, electronic or similar means.
All requests must clearly describe the expedited service
				  requested, the name of the entity, the name of the service company or agent, if
				  applicable, and any other information the Division may from time to time
				  require.
All requests, made by mail or similar means, must be
				  addressed to Attention: Expedited Handling, NYS Department of State, Division
				  of Corporations, One Commerce Plaza, 99 Washington Avenue, Suite 600, Albany,
				  NY 12231-0001 Any such request received by the division shall be stamped with
				  the hour of receipt thereof, at which time the period of time for performance
				  by the division shall commence.
Requests made by email or through an electronic filing system
				  operated by the Division received on weekends, holidays, or on any other day or
				  time when the Division is not open for business will be deemed received by the
				  Division at the start of the next business day at which time the period of time
				  for performance by the Division shall commence.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 154 - Expedited Handling Services › Section 154.5 - Requests delivered to the Division of Corporations in person

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Each certificate or other instrument or
				request for service submitted pursuant to these rules shall have affixed, to
				the top of each certificate or other instrument or service request, a form,
				which sets forth the requested service, the name of the organization or entity,
				the name of the service company or agent, if applicable, and any other
				information the division may from time to time require.
(b) All filing fees or other charges payable
				in connection with the instrument must be included with the instrument at the
				time of submittal. Failure to include said fees shall be reason for rejection
				and forfeiture of the expedited handling.
(c) All requests by service companies shall
				be delivered to the Division by depositing the certificate or other instrument
				or service request in the designated boxes at the service counter for this
				purpose. All requests made in person by individuals other than service
				companies shall be delivered to Division staff at the service counter or as
				otherwise directed by the Division.
(d) The division shall pick up all requests
				from the service counter every hour on the hour during the business day. Each
				request shall be time-stamped with the hour of receipt thereof, at which time
				the period for performance by the division shall commence.
(e) Repealed
(f) Repealed
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 154 - Expedited Handling Services › Section 154.8 - Refunds

Current through Register Vol. 46, No. 28, July 10, 2024
The division shall refund any fee collected for which the
				  division did not comply with the time period for performance. Any fee for
				  expedited handling collected for any instrument which has been rejected by the
				  division shall be refunded if it is determined that the rejection was improper
				  or erroneous, and the requirements of these rules had been complied with by the
				  requestor of the services.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 155 - Sale Of Aggregate Data From Computerized Information Systems › Section 155.1 - Introduction

Current through Register Vol. 46, No. 28, July 10, 2024
Pursuant to various laws, including the Business Corporation
				  Law, the Not-for-Profit Corporation Law, and the General Business Law, filings
				  are made in the Department of State Division of Corporations and State Records
				  from which the department extracts certain information which it compiles and
				  maintains in computerized information systems. Aggregations of the data so
				  maintained will be provided in accordance with this Part.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 155 - Sale Of Aggregate Data From Computerized Information Systems › Section 155.2 - Products

Current through Register Vol. 46, No. 28, July 10, 2024
The Department of State will contract to sell from the
				  contents of its information systems various aggregations of data as denominated
				  by the department. The department will further contract to sell by subscription
				  update services for selected aggregations. The aggregate data and updates will
				  be provided on media and in a format more completely described in a Department
				  of State manual to be specified in the contract. The particular set of data
				  constituting a given denominated aggregation or update also will be specified
				  in the contract.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 155 - Sale Of Aggregate Data From Computerized Information Systems › Section 155.3 - Prices

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Aggregate data.
				The price of the aggregate data denominated "Corporations and Organizations"
				without update service is $7,500, payable in advance by certified funds. The
				price of the aggregate data with update service is $16,500 for the initial
				quarter or part thereof and $9,000 for each subsequent quarter, payable in
				advance by certified funds. Payment for the initial quarter shall be due upon
				approval of the contract and for subsequent quarters on or before each January
				1st, April 1st, July 1st, and October 1st. Delivery by the department of the
				aggregate data need be made, and update service need commence, only at the
				beginning of the department' s quarterly production cycle.
(b) Bulk requests. The price for 100 records
				or more but less than the aggregate data denominated "Corporations and
				Organizations" is $100 plus 10 cents for each record in excess of 100. For the
				purposes of this section, a record means all of the filings by one
				entity.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 155 - Sale Of Aggregate Data From Computerized Information Systems › Section 155.4 - Limitations

Current through Register Vol. 46, No. 28, July 10, 2024
(a) An aggregation
				is not an official record of the Department of State. Certification of the
				information contained in an aggregation may be had only from the Department of
				State. The data is provided for information only. The purchaser or subscriber
				shall not represent that the information is an official record and shall make
				any statements and disclosures required by the contract with respect to such
				information.
(b) All corporations
				data supplied in accordance with this Part is provided on an "as is" basis.
				With respect to the purchase by and delivery to the purchaser or subscriber,
				and the purchaser's or subscriber's receipt, possession and use, sale, resale
				or transfer of the corporations data in any manner whatsoever, the department
				and the State of New York make no warranties, guarantees or representations of
				any kind, whether express or implied, or arising by custom or trade usage as to
				any matter whatsoever, without limitation, and specifically make no implied
				warranty of merchantability, fitness for any particular purpose or use,
				including but not limited, to adequacy, accuracy, correctness, completeness,
				currentness, reliability or conformity to any representation, description,
				sample or model, except that the department warrants solely that the
				corporations data initial and quarterly editions are reproductions of the same
				information then currently maintained by it in its information
				system.
(c) Without limiting
				subdivision (b) of this section, the department or the State of New York shall
				not be liable, in whole or in part, for any errors, omissions, or losses,
				including but not limited to loss of business opportunity, loss of profits or
				revenues, loss of data, loss of use or injury to persons or property, claims,
				liabilities, costs or damages, of any kind whatsoever, including but not
				limited to actual direct, indirect, special, consequential, incidental,
				punitive or other damages resulting from, caused by, or arising in connection
				with the purchase by and delivery to purchaser or subscriber, and the
				purchaser's or subscriber's possession, use or inability of use, sale, resale,
				or transfer, in any manner whatsoever, even if the department or the State of
				New York has been advised of the possibility of such errors, omissions, losses,
				injuries, claims, liabilities, costs, or other damages.
New York Codes, Rules and Regulations › Title 19 - DEPARTMENT OF STATE › Chapter IV - Division Of Corporations And State Records › Part 155 - Sale Of Aggregate Data From Computerized Information Systems › Section 155.5 - Limited access

Current through Register Vol. 46, No. 28, July 10, 2024
Any person may establish an account with the Department of
				  State and thereafter may have on- line access to certain contents of the
				  information systems on a transaction basis. For purposes of this section, a
				  transaction is access to the index of records on file in the Division of
				  Corporations pertaining to a given organization. The charge per transaction
				  shall be 75 cents.