reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter V - CHARITABLE USES AND PURPOSES › Part 97 - Administrative Enforcement By The Attorney General › Section 97.19 - Administrative appeal from the decision or order

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Within 30 calendar days of receipt, any
				of the parties may appeal from the decision or order revoking, suspending or
				denying any registration or exemption, or issuing a cease and desist order or
				assessing a civil penalty, by filing with the individual designated by the
				Attorney General to hear administrative appeals, and serving on the other party
				or parties, a written memorandum stating the appellant's arguments.
(b) The memorandum should identify the part
				or parts of the decision to which the appellant is objecting, state the grounds
				for the objection and identify the portions of the record supporting the
				objection.
(c) The party served
				with the appeal may file and serve a memorandum in opposition and a
				cross-appeal within 30 days after service of the appeal. A response to a
				cross-appeal may be filed and served within 15 days after service of the
				cross-appeal.
(d) The record on
				appeal shall consist of the transcript of the hearing, the evidence admitted at
				the hearing and the memoranda.
(e)
				The individual designated by the Attorney General to hear and decide
				administrative appeals may make a final written determination:
(1) confirming the decision;
(2) vacating the decision with an explanation
				of the basis for vacating the decision; or
(3) sending the matter back to the hearing
				officer for further proceedings.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter V - CHARITABLE USES AND PURPOSES › Part 97 - Administrative Enforcement By The Attorney General › Section 97.20 - Judicial appeal from the final administrative determination

Current through Register Vol. 46, No. 28, July 10, 2024
Within 120 days after the final determination, a party may
				  appeal from the final determination by commencing a proceeding for judicial
				  review under article 78 of the New York State Civil Practice Law and
				  Rules.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter V - CHARITABLE USES AND PURPOSES › Part 98 - Civil Enforcement By The Attorney General › Section 98.1 - Civil enforcement by the attorney general

Current through Register Vol. 46, No. 28, July 10, 2024
This Chapter shall not prohibit the Attorney General from
				  initiating any civil action or proceeding authorized by law for failure to
				  register and/or file reports pursuant to, and/or comply with, any provision of
				  EPTL article 8 or article 7-A, any other law or the common
				  law.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter V - CHARITABLE USES AND PURPOSES › Part 99 - Criminal Enforcement By The Attorney General › Section 99.1 - Criminal enforcement by the attorney general

Current through Register Vol. 46, No. 28, July 10, 2024
(a) This Chapter shall not prohibit the
				Attorney General from initiating any criminal action authorized by law for
				failure to register and/or file reports pursuant to, and/or comply with, any
				provision of EPTL article 8 or article 7-A, any other law or the common
				law.
(b) Any person who swears
				falsely to any document required by this Chapter to be signed under penalties
				for perjury may be guilty of a crime under the New York Penal Code.
(c) Any provision of article 7-A, violation
				of which is designated a misdemeanor without specification of classification,
				is a class A misdemeanor. See Penal Law section 55.10.2(b).
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.1 - Purpose

Current through Register Vol. 46, No. 28, July 10, 2024
This Part contains the procedures to be followed by the
				  Department of Law in compliance with chapter 933 of the Laws of 1977 entitled
				  "Freedom of Information Law".
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.10 - Requests for records

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Persons appearing in person to request access to records will be required to
				complete the following request form:
APPLICATION FOR PUBLIC ACCESS TO RECORDS
RECORDS ACCESS OFFICER
Name of Agency _ Request Number
				  ___________________________________________________________
Address
I HEREBY APPLY TO INSPECT THE FOLLOWING RECORD:
_______________________________________________________
_______________________________________________________
_______________________________________________________
Name _ Representing
				  _____________________________________
Mailing Address _ Telephone Number
				  ___________________________________________________________
Signature _ Date
				  _________________________________________
FOR AGENCY USE ONLY
APPROVED
DENIED (for the reason(s) checked below)
___Confidential Disclosure __ Part of Investigatory
				  Files
___Unwarranted Invasion of Personal Privacy
___Record of Which This Agency is Legal Custodian Cannot Be
				  Found
___Record is not Maintained by This Agency
___Exempted by Statute Other Than the Freedom of Information
				  Act
___ Request has been Referred to Department Which has Custody
				  or Control of Original Record
___ Other (specify)
				  ___________________________________________
Signature
_______________________________________________________
Title
Date
NOTICE: YOU HAVE A RIGHT TO APPEAL A DENIAL OF THIS
				  APPLICATION TO THE HEAD OF THIS AGENCY OR HIS DESIGNEE WHO IS:
Name _ Business Address
				  __________________________________________________________
WHO MUST FULLY EXPLAIN HIS REASONS FOR SUCH DENIAL IN WRITING
				  WITHIN SEVENWORKING DAYS OF RECEIPT OF AN APPEAL
I Hereby Appeal:
Signature _ Date
				  _________________________________________
(b) Requests made orally or in a form other
				than authorized by this Part will not be entertained.
(c) Requests by mail will be processed at the
				location where received either by mail or by intra-departmental routing. Such
				requests will be processed if the requestor and material sought are
				sufficiently identified to make compliance practicable. In the absence of such
				identification, the department may send to the requestor a copy of the above
				form for completion in order that the request may be considered.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.15 - Responses to requests

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				The records access officer shall within five business days:
(1) approve the request and authorize
				inspection of and copying of the record and certification of correctness of
				such copy; or
(2) deny the request
				and state the reason therefor on the application form; or
(3) if the request does not clearly identify
				the records sought, seek additional information from the requestor;
				or
(4) acknowledge receipt of the
				request and provide a statement of the approximate date when the request will
				be granted or denied.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.20 - Fees

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No charge will
				be made for the first five or fewer pages of photocopy of pages not larger than
				8 1/2 inches by 14 inches. No charge will be made to certify a record or to
				certify a denial of a request for a record and the reason therefor.
(b) A charge will be made of 25 cents per
				page of photocopy of pages not larger than 8-1/2 inches by 14 inches apart from
				the aforementioned five pages furnished without charge.
(c) Charges for materials or services not
				specified by statute or regulation shall be based on the actual cost thereof to
				the department.
(d) Payment for
				information services should be made by check or money order payable to "New
				York State Department of Law".
(e)
				Where it is anticipated that the fees chargeable for records on a single
				request will amount to more than $25 and the requestor has not indicated in
				advance his willingness to pay fees in such amount, the requestor shall be
				notified of the amount of the anticipated fee or such portion thereof as can
				readily be estimated. Such notice shall offer to the requestor an opportunity
				to confer with department personnel in order to revise the request if he so
				desires.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.25 - Departmental finding list

Current through Register Vol. 46, No. 28, July 10, 2024
The department shall develop a record finding list for use at
				  departmental access locations in conformity with the requirements of the
				  Freedom of Information Law.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.30 - Appeals

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The head of the
				department to whom the appeals from denial of access may be made is the
				Attorney General, except that for special investigations established pursuant
				to statute, appeals will be made to the Special Deputy Attorney General in
				charge or his designee, or in the case of the Statewide Organized Crime Task
				Force, the Deputy Attorney General or his designee. The Attorney General or the
				Special Deputy Attorney General or the Deputy Attorney General for the
				Organized Crime Task Force may designate a representative to determine such
				appeals and to exercise their powers and duties under subdivision 4 of section
				89 of the Freedom of Information Law.
(b) When a records access officer has denied
				a request for records in whole or in part, the requestor may, within 30 days of
				its receipt, appeal the denial to the Attorney General's designated
				representative or to the Attorney General if he has made no such designation,
				or in the case of a Special Investigation established pursuant to statute to
				the Special Deputy Attorney General or his designee, or in the case of the
				Statewide Organized Crime Task Force to the Deputy Attorney General or his
				designee.
(c) The Attorney General
				or his authorized representative, or the Special Deputy Attorney General for
				each special investigation or his designee, or the Deputy Attorney General for
				the Statewide Organized Crime Task Force or his designee, will act upon the
				appeal within seven business days of its receipt. A denial in whole or in part
				of a request on appeal shall set forth the reason therefor in
				writing.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 120 - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Section 120.35 - Posted notice

Current through Register Vol. 46, No. 28, July 10, 2024
The department shall cause to be conspicuously displayed at
				  each access location, a notice clearly indicating:
(a) the head of the department;
(b) the records access locations, times and
				officers designated by the department;
(c) the schedule of applicable fees;
				and
(d) the right of a request or
				to appeal a denial of access and an outline of the procedure to be
				followed.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.1 - Purpose and scope

Current through Register Vol. 46, No. 28, July 10, 2024
(a) It
				is the responsibility and the intent of the Department of Law (hereinafter
				department) to fully comply with the provisions of article 6-A of the Public
				Officers Law, the Personal Privacy Protection Law.
(b) The department shall maintain in its
				records only such personal information that is relevant and necessary to
				accomplish a purpose of the department authorized by law.
(c) Personal information will be collected,
				whenever practicable, directly from the person to whom the information
				pertains, except when collected for the purpose of making quasi-judicial
				determinations.
(d) The department
				seeks to ensure that all records pertaining to or used with respect to
				individuals are accurate, relevant, timely and complete.
(e) These regulations provide information
				regarding the procedures by which members of the public may assert rights
				granted by the Personal Privacy Protection Law.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.2 - Designation of privacy compliance officer

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The department's privacy compliance
				officer is responsible for ensuring compliance with the provisions of the
				Personal Privacy Protection Law and the regulations herein and for coordinating
				department's response to requests for records or amendments of records.
				Responsibility for compliance by all special investigation units and the
				Statewide Organized Crime Task Force established pursuant to statute shall rest
				with the deputy attorney general in charge of the investigation unit or the
				deputy attorney general in charge of the Organized Crime Task Force.
(b) Deleted.
(c) The privacy compliance officer is
				responsible for:
(1) assisting a data subject
				in identifying and requesting personal information, if necessary;
(2) describing the contents of systems of
				records orally or in writing in order to enable a data subject to learn if a
				system of records includes a record or personal information identifiable to a
				data subject requesting such record or personal information;
(3) taking one of the following actions upon
				locating the record sought:
(i) make the
				record available for inspection, in a printed form without codes or symbols,
				unless an accompanying document explaining such codes or symbols is also
				provided;
(ii) permit the data
				subject to copy the record; or
(iii) deny access to the record in whole or
				in part and explain in writing the reasons therefor;
(4) making a copy available, upon request,
				upon payment of or offer to pay established fees, if any, or permitting the
				data subject to copy the records;
(5) upon request, certifying that a copy of a
				record is a true copy; or
(6)
				certifying, upon request, that:
(i) the
				department does not have possession of the record sought;
(ii) the department cannot locate the record
				sought after having made a diligent search; or
(iii) the information sought cannot be
				retreived by use of the description thereof, or by use of the name or other
				identifier of the data subject without extraordinary search methods being
				employed by the department.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.3 - Proof of identity

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				When a request is made in person, or when records are made available in person
				following a request by mail, the department may require appropriate
				identification, such as a driver's license, an identifier assigned to the data
				subject by the department, a photograph or similar information that confirms
				that the record sought pertains to the data subject.
(b) When a request is made by mail, the
				department may require verification of a signature or inclusion of an
				identifier generally known only by a data subject, or similar appropriate
				identification.
(c) Proof of
				identity shall not be required regarding a request for a record accessible to
				the public pursuant to article 6 of the Public Officers Law.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.4 - Location

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Records shall
				be made available at the offices of the agency. Requests for information and
				records may be directed to the department's offices which are currently at the
				following locations:
Albany:
State of New York
Department of Law
Administration Bureau
Justice Building
Empire State Plaza
Albany, NY 12223
New York City:
State of New York
Department of Law
Administration Office
28 Liberty Street
New York, NY 10005
Binghamton:
State of New York
Department of Law
Key Bank Building
59-61 Court Street, 7th Floor
Binghamton, NY 13901
Buffalo:
State of New York
Department of Law
65 Court Street, 3rd Floor
Buffalo, NY 14202
Hauppauge:
State of New York
Department of Law
Suffolk State Office Building
Veterans Highway
Hauppauge, NY 11787
Mineola:
State of New York
Department of Law
Nassau Regional Office
190 Willis Avenue
Mineola, NY 11501
Plattsburgh:
State of New York
Department of Law
70 Clinton Street
Plattsburgh, NY 12901
Poughkeepsie:
State of New York
Department of Law
235 Main Street
Poughkeepsie, NY 12601
Rochester:
State of New York
Department of Law
Reynolds Arcade Building, Suite 900
16 Main Street East
Rochester, NY 14614
Syracuse:
State of New York
Department of Law
333 East Washington Street
Syracuse, NY 13202
Utica:
State of New York
Department of Law
Utica State Office Building
207 Genesee Street
Box 528
Utica, NY 13501
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.5 - Hours and places for public inspection and copying

Current through Register Vol. 46, No. 28, July 10, 2024
Records shall be available for inspection and copying by
				  members of the public on each and every day that the offices of the department
				  are open for the transaction of business, during all regular business hours.
				  Records shall be inspected at the location for the inspection of records
				  designated by the department.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.6 - Requests for records

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				All requests shall be made in writing, except that the department, in its
				discretion, may make records available upon an oral request made in person
				after the applicant has demonstrated proof of identity, if proof of identity is
				required.
(b) A request shall
				reasonably describe the record sought. To the extent possible, the data subject
				shall supply identifying information that assists the agency in locating the
				record sought.
(c) Requests based
				upon categories of information described in a notice of a system of records or
				a privacy impact statement shall be deemed to reasonably describe the record
				sought.
(d) Within five business
				days of the receipt of a request, the department shall provide access to the
				record, deny access in writing explaining the reasons therefor, or acknowledge
				the receipt of the request in writing, stating the approximate date when the
				request will be granted or denied, which date shall not exceed 30 days from the
				date of the acknowledgment.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.7 - Amendment of records

Current through Register Vol. 46, No. 28, July 10, 2024
Within 30 business days of a request from a data subject for
				  correction or amendment of a record or personal information that is reasonably
				  described and that pertains to the data subject, the department shall:
(a) make the amendment or correction in whole
				or in part and inform the data subject that, on request, such correction or
				amendment will be provided to any person or governmental unit to which the
				record or personal information has been or is disclosed pursuant to paragraph
				(d), (i) or (l) of subdivision 1 of section 96  of the Public Officers Law; or
(b) inform the data subject in writing of its
				refusal to correct or amend the record, including the reasons
				therefor.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.8 - Denial of request for a record or amendment or correction of a record or personal information

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				Denial of a request for records or amendment or correction of a record or
				personal information shall:
(1) be in
				writing, explaining the reasons therefor; and
(2) identify the person to whom an appeal may
				be directed.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.9 - Appeal

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any person
				denied access to a record or denied a request to amend or correct a record or
				personal information pursuant to section
				121.8  of this Part may, within 30
				business days of such denial, appeal to FOIL Appeals Officer, State of New
				York, Office of the Attorney General, Division of Appeals and Opinions, The
				Capitol, Albany, NY 12224.
(b) The
				time for deciding an appeal shall commence upon receipt of an appeal that
				identifies:
(1) the date and location of a
				request for a record or amendment or correction of a record or personal
				information;
(2) the record that is
				the subject of the appeal; and
(3)
				the name and return address of the appellant.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.10 - Statement of disagreement by data subject

Current through Register Vol. 46, No. 28, July 10, 2024
(a) If correction or amendment of a record or
				personal information is denied in whole or in part upon appeal, the
				determination rendered pursuant to the appeal shall inform the data subject of
				the right to:
(1) file with the department a
				statement of reasonable length setting forth the data subject's reasons for
				disagreement with the determination;
(2) request that such a statement of
				disagreement be provided to any person or governmental unit to which the record
				has been or is disclosed pursuant to paragraph (d), (i) or (l) of subdivision 1
				of section 96  of the Public Officers Law.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.11 - Fees

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Unless
				otherwise prescribed by statute, there shall be no fee charged for:
(1) inspection of records;
(2) search for records; or
(3) any certification pursuant to this
				Part.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VI - PUBLIC ACCESS TO DEPARTMENTAL RECORDS › Part 121 - ACCESS TO PERSONAL INFORMATION › Section 121.12 - Severability

Current through Register Vol. 46, No. 28, July 10, 2024
If any provision of this Part or the application thereof to
				  any person or circumstance is adjudged invalid by a court of competent
				  jurisdiction, such judgment shall not affect or impair the validity of the
				  other provisions of this Part or the application thereof to other persons and
				  circumstances.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.1 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A
franchise fee
includes but is not limited to, payments that
				are made before, upon, or after execution of an agreement to purchase, process,
				resell, or otherwise distribute a manufacturer's, a distributor's or a
				licensor's goods, services, equipment, inventory or real estate. The word
payment
, includes those made in the form of a lump sum,
				installments, periodic royalties, profits, cash flow, or those reflected in the
				price of goods, services, equipment, inventory or real estate sold or leased by
				the manufacturer or licensor to the distributor or licensee
				respectively.
(b) A
marketing plan
is advice or training, provided to the
				franchisee by the franchisor or a person recommended by the franchisor,
				pertaining to the sale of any product, equipment supplies or services and the
				advice or training includes, but is not limited to, preparing or providing:
(1) promotional literature, brochures,
				pamphlets, or advertising materials;
(2) training regarding the promotion,
				operation or management of the franchise; or
(3) operational, managerial, technical or
				financial guidelines or assistance.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.2 - Contents of franchise offering prospectus

Current through Register Vol. 46, No. 28, July 10, 2024
Present information in the required order. Except for risk
				  factors or when instructed by the examiner, do not capitalize or
				  underline.
(a)
Cover
				page.
The cover page of the offering prospectus
must
state:
(1) the
				title in boldface type:
FRANCHISE OFFERING CIRCULAR
;
(2) the franchisor's name, type of business
				organization, principal business address and telephone number;
(3) a sample of the primary business
				trademark, logotype, trade name, or commercial label or symbol under which the
				franchisee will conduct its business (place in upper left-hand corner of the
				cover page);
(4) a brief
				description of the franchised business;
(5) the total amounts in Items 5 and 7 of the
				offering circular: Franchisee's Initial Franchisee Fee or Other Payment and
				Franchisee's Initial Investment;
(6) unless directed by the department to
				place a risk factor description elsewhere in the prospectus, a description of
				risk factors, in bold-faced type, preceded by the heading "SPECIAL RISK
				FACTORS";
(7) The following
				statements:
INFORMATION COMPARING FRANCHISORS IS AVAILABLE. CALL
				  THE STATE ADMINISTRATORS LISTED IN EXHIBIT____ OR YOUR PUBLIC LIBRARY FOR
				  SOURCES OF INFORMATION. REGISTRATION OF THIS FRANCHISE BY A STATE DOES NOT MEAN
				  THAT THE STATE RECOMMENDS IT OR HAS VERIFIED THE INFORMATION IN THIS OFFERING
				  CIRCULAR. IF YOU LEARN THAT ANYTHING IN THE OFFERING CIRCULAR IS UNTRUE,
				  CONTACT THE FEDERAL TRADE COMMISSION AND THE APPROPRIATE STATE OR PROVINCIAL
				  AUTHORITY.
(8)
				effective date: (Leave blank until notified of effectiveness by New York State
				Department of Law); and
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.3 - Franchise prospectus registration application

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
Completion of application.
An application for registration of the prospectus shall
				  include the following:
(1) facing
				page, employing form (UFRA-A);
(2)
				supplemental information page(s) which shall contain a statement as to each
				franchise salesman employed by the franchisor containing the information as to
				his identity and litigation history called for by section
				200.4(c)(2) and
				(3)  of this Part;
(3) certification of application
				(UFRA-C);
(4) sales agent
				disclosure form (UFRA-E); and
(5)
				two copies of the proposed offering prospectus or offering circular.
The following shall be attached to the application:
(6) one copy of the proposed
				offering prospectus or offering circular;
(7) two copies of any advertising to be used
				in connection with the offer or sale of franchises;
(8) a consent to service of process (UFRA-D);
				and
(9) form of guarantee of
				performance (UFRA-F).
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.4 - Rules concerning denial, suspension or revocation of franchise sales agent registrations

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				The department may deny, suspend or revoke a franchise sales agent's
				registration upon a finding by the department that the agent has:
(1) made an untrue statement of a material
				fact in any application, notice, prospectus or report or statement filed with
				the department under article 33 of the General Business Law;
(2) willfully omitted to state, in any such
				application, notice, statement, prospectus or report, any material fact which
				is required to be stated herein, or failed to notify the department of any
				material change required by article 33 of the General Business Law;
(3) employed any device, scheme or artifice
				to defraud in the offer or sale of franchises;
(4) made any untrue statement of material
				fact or omitted to state a material fact necessary in order to have made the
				statement made, in the light of the circumstances under which they were made,
				not misleading in the offer or sale of franchises;
(5) engaged in any act, practice or course of
				business which operates or would operate as a fraud or deceit upon any person
				in the offer or sale of franchises;
(6) violated any provision of article 33 of
				the General Business Law or any condition of the effectiveness of the
				registration of an offering prospectus or of any exemption from the
				registration provisions of article 33 of the General Business Law; or
(7) required a franchisee to assent to a
				release, assignment, vacation, waiver or estoppel which would relieve a person
				from any duty or liability imposed by this Part.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.5 - Amendments to franchise offering prospectus

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In compliance with section 683.9 of the
				General Business Law, a franchisor shall promptly notify the Department of Law,
				by application to amend its offering, of any material changes in the
				information contained in the prospectus as originally submitted or
				amended.
(b)
Material
				change,
as used in section 683.9 of the General Business Law, includes
				but is not limited to:
(1) the termination,
				closing, or failure to renew, during a three-month period, of the lesser of 10,
				or 10 percent, of the franchises of a franchisor, regardless of
				location;
(2) a purchase by the
				franchisor in excess of five percent of its existing franchises during six
				consecutive months;
(3) a change in
				the franchise fees charged by the franchisor; and
(4) any significant adverse change in the
				business condition of the franchisor or in any of the following:
(i) the obligations of the franchisee to
				purchase items from the franchisor or its designated sources;
(ii) limitations or restrictions on the goods
				or services which the franchisee may offer to its customers;
(iii) the obligations to be performed by the
				franchisor;
(iv) the franchise
				contract or agreements, including amendments thereto;
(v) the franchisor's accounting system
				resulting in a five percent or greater change in its net profit or loss in any
				six-month period; or
(vi) the
				service, product or model line.
(5) audited financial statements of the
				preceding fiscal year.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.7 - Rules concerning exemptions

Current through Register Vol. 46, No. 28, July 10, 2024
In compliance with section 684.2(c)(4) of the General
				  Business Law, an applicant for an exemption shall supply such information
				  concerning the identity and business experience of persons affiliated with the
				  franchisor as is required to be set forth in an offering prospectus under
				  paragraphs (c)(2)-(4) of section
				  200.4  of this
				  Part.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.8 - Annual report requirements

Current through Register Vol. 46, No. 28, July 10, 2024
The franchisor shall, within 120 days of the close of its
				  fiscal year, submit a report to the Department of Law of its activities during
				  the said fiscal year containing the following items:
(a) the name and address of each franchise
				sold, the date of the sale and the name, address and telephone number of the
				person purchasing the franchise;
(b) the price paid and credit terms upon the
				sale of each franchise listed in subdivision (a) of this section; and
(c) a copy of the annual audited financial
				statements of the franchisor as prepared by an independent public
				accountant.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.9 - Filing of sales literature

Current through Register Vol. 46, No. 28, July 10, 2024
(a) No
				pamphlet, circular, form letter, advertisement, sales literature, or
				advertising communication (hereafter sales literature) addressed to or intended
				for distribution or communication to prospective franchisees, shall be
				distributed unless it has been filed with the department prior to
				distribution.
(b) Sales literature
				shall be submitted to the department not less than seven days prior to its
				intended use, and shall be submitted in the form and containing the language
				and subject matter which will appear in the sales literature addressed or
				intended for distribution to prospective franchisees.
(c) No sales literature shall include any
				representation or statement inconsistent with the prospectus on file with the
				department, and the franchisor shall verify in a writing, submitted with the
				sales literature, that it is not inconsistent with the filed
				prospectus.
(d) All sales
				literature in connection with franchise offerings shall contain the following
				statement in easily readable print, except as provided herein: "This
				advertisement is not an offering. An offering can only be made by a prospectus
				filed first with the Department of Law of the State of New York. Such filing
				does not constitute approval by the Department of Law."
(e) The statement required under the
				foregoing subdivision shall similarly be contained on the cover page of all
				circulars, flyers, cards, letters and other literature employed in connection
				with soliciting interests in the franchise offering.
(f) Irrespective of subdivision (d) of this
				section, in all classified type advertisements not more than five inches long
				and not more than one column of print wide, and in all broadcast advertising 30
				seconds or less in duration, the following statement may be used, in lieu of
				the statement required in subdivision (d) of this section:
"This offering is made by prospectus only."
(g) Sales literature, as to franchisors
				registered in this State, but making offers of their franchises from places
				other than this State, shall not include such literature contained in a bona
				fide newspaper or other publication of general, regular and paid circulation
				whose circulation area does not include this State.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.10 - Exemptions from registration

Current through Register Vol. 46, No. 28, July 10, 2024
(a) A
				sale to an existing franchisee form shall be filed with the Department of Law
				along with the appropriate fee as fixed by subdivision (c) of this section
				pursuant to, General Business Law, section 684.3(d).
(b) Any offer or sale of a franchise, if the
				franchise involves the adding of a new product or service line to the existing
				business of a prospective franchisee, is exempt from registration provided all
				of the following are met:
(1) For at least
				the last 24 months prior to the date of sale of the franchise, the prospective
				franchisee, or if the prospective franchisee is not a natural person, an
				existing officer, director, or managing agent of the prospective franchisee who
				has held that position with the prospective franchisee for at least the last 24
				months, has been engaged in a business offering products or services
				substantially similar or related to those to be offered by the franchised
				business.
(2) The new product or
				service is substantially similar or related to the product or service being
				offered by the prospective franchisee's existing business.
(3) The franchised business is to be operated
				from the same business location as the prospective franchisee's existing
				business.
(4) The parties
				anticipated, in good faith, at the time the agreement establishing the
				franchise relationship was reached, that sales resulting from the franchised
				business will not represent more than 20 percent of the total sales in dollar
				volume of the franchisee on an annual basis.
(5) The prospective franchisee is not
				controlled by the franchisor.
(6)
				The franchisor notifies in writing the Department of Law of the specific
				circumstances surrounding the fractional franchise exemption and pays the
				statutory fee for an amendment as prescribed in section 694.1(b) of the General
				Business Law.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.11 - Registration of franchise sales agents

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In compliance with section 683.13 of the
				General Business Law, all persons acting as franchise sales agents as defined
				in General Business Law, section 681.8 in the offer for sale or sale of a
				franchise shall file a sales agent disclosure form (UFRA-E) with the Department
				of Law. The department shall issue an order of registration upon the receipt of
				a properly executed application and no offer for sale or sale of a franchise
				shall be made by a franchise sales agent until said registration order has been
				issued.
(b) In compliance with
				section 683.13 of the General Business Law, every person acting as a franchise
				sales agent who shall have filed a sales agent disclosure form (UFRA-E) with
				the Department of Law shall file an updated sales agent disclosure form
				(UFRA-E) whenever any of the following changes have taken place, to indicate
				the change of information originally filed.
(1) Name. The change in name of registrant
				(in the event the registrant incorporates, an entirely new registration
				statement must be filed).
(2)
				Address. Change of business address and addresses of new branch offices in New
				York.
(3) Management. Changes in
				the officers, directors, general partners or other principals of the
				registrant, giving the new names and addresses involved in such
				changes.
(4) Litigation. Upon each
				occasion when the registrant becomes the subject of any criminal action, or is
				convicted of any misdemeanor or felony, is the subject of any injunction or
				cease and desist order relating to the offer or sale of securities or
				franchises or is the subject of a money judgment or injunction in a civil
				action involving fraud, embezzlement, fraudulent conversion or misappropriation
				of property.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.12 - Exemption from filing requirements of franchise advertising on the Internet

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Any
				communication about a franchise offering posted on a website on the Internet is
				exempt from the requirements for filing advertising with the Department of Law
				and paying a fee if:
(1) the franchisor
				discloses to the Department of Law the uniform resource locator (URL) address
				or similar address or device identifying the location of the Internet
				advertising;
(i) on the cover page of a
				franchise offering circular included with an application for registration that
				is effective in New York State;
(ii) on the cover page of a franchise
				offering circular included with an application for exemption from registration
				that is on file with the Department of Law; or
(iii) on a notice filed with the Department
				of Law; and
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 200 - FRANCHISE OFFERINGS › Section 200.13 - Unregistered franchise offers over the Internet

Current through Register Vol. 46, No. 28, July 10, 2024
Any communication made through the Internet, the World Wide
				  Web, or any other similar proprietary or common carrier electronic delivery
				  system, of an offer to sell a franchise that is not registered in New York,
				  ("Internet offer") is exempt from registration provisions, if:
(a) the Internet offer indicates, directly or
				indirectly, that the franchise is not being offered to residents of this
				State;
(b) the Internet offer is
				not otherwise directed to any person in this State by or on behalf of the
				franchisor or anyone acting with the franchisor's knowledge; and
(c) no franchise is old in this State by or
				on behalf of the franchisor until the offering has been registered and declared
				effective and the Uniform Franchise Offering Circular has been delivered to the
				offeree before the sale in compliance with article 33 of the General Business
				Law, the New York Franchise Act.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 201 - Procedural Regulations Governing Hearings Held Under The New York Franchise Sales Act › Section 201.1 - Scope of part

Current through Register Vol. 46, No. 28, July 10, 2024
This Part shall govern the conduct of hearings held by the
				  Bureau of Investor Protection and Securities of the Department of Law pursuant
				  to chapter 730, Laws of 1980, the New York Franchise Sales Act, and as amended
				  from time to time.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 201 - Procedural Regulations Governing Hearings Held Under The New York Franchise Sales Act › Section 201.2 - Opportunity to be heard

Current through Register Vol. 46, No. 28, July 10, 2024
(a)
				The Attorney General shall not refuse to register an offering prospectus
				pursuant to General Business Law section 684.7, without giving the applicant an
				opportunity to be heard in any case required by law.
(b) In any case in which the Bureau of
				Investor Protection and Securities determines that an offering prospectus
				should be denied registration and in which the applicant would be entitled to a
				hearing as required by law, it shall notify the applicant that the registration
				is denied. The notice shall include the statutory authority for the denial and
				a statement that the applicant is entitled to a hearing. The applicant, within
				five days of such notice, may then demand a hearing and the bureau shall
				thereafter commence an adjudicatory proceeding pursuant to the provisions of
				the State Administrative Procedure Act within the time limited for the issuing
				of a registration or deficiency letter pursuant to General Business Law,
				section 683.7. T he commencement of such a proceeding tolls the time within
				which an application and prospectus is required to be accepted for filing and
				registered, or refused registration and filing.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 201 - Procedural Regulations Governing Hearings Held Under The New York Franchise Sales Act › Section 201.3 - Notice of hearing

Current through Register Vol. 46, No. 28, July 10, 2024
The notice of hearing shall be in writing and shall
				  state:
(a) the date, time, place and
				nature of the hearing;
(b) the
				particular law or laws and rule or rules involved;
(c) a statement of the legal authority and
				jurisdiction under which the hearing is to be held; and
(d) a short and plain statement of the matter
				asserted.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter VII - FRANCHISE OFFERINGS › Part 201 - Procedural Regulations Governing Hearings Held Under The New York Franchise Sales Act › Section 201.4 - Service of notice of hearing, orders and other communications

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The notice of
				hearing from the Attorney General shall be duly served if enclosed in a
				properly postpaid wrapper, addressed to the applicant at the address last given
				in the franchise prospectus registration application facing page filed by him
				with the Attorney General, as ordinary mail or if such notice addressed to such
				person is delivered to such address by an employee or agent of the Attorney
				General. An affidavit by an employee or agent of the Department of Law that
				such notice has in the regular course of business of the Department of Law been
				duly dispatched or delivered, in a manner authorized by this section, shall be
				presumptive evidence of proper service. For the purpose of calculating time of
				notice, service shall be deemed effective upon the date of delivery to such
				address. The notice of hearing shall be served upon the registrant at least 10
				days prior to the date of the hearing.
(b) Notices, orders and communications from
				the Attorney General, other than the notice of hearing, shall be duly served if
				enclosed in a properly postpaid wrapper addressed to the applicant to be
				notified or communicated with, at the address last given in the franchise
				prospectus registration application facing page filed with the Attorney
				General, and deposited, as ordinary mail, in a post office, post office box or
				mail chute maintained by the United States Government, or if delivered as
				provided in subdivision (a) of this section. An affidavit by an employee or
				agent of the Department of Law that such notice, order or communication has, in
				the regular course of the business of the Department of Law, been duly
				dispatched or delivered, in a manner authorized by this section, shall be
				presumptive evidence of proper service. For the purpose of calculating the time
				of notice, service shall be considered effected upon the date of delivery to
				such address, provided that, where service is by ordinary mail, service shall
				be considered effected three days after mailing.