reglab/statecodes huggingface dataset:
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-7 - Enforcement By The Commissioner Of Labor › Section 921-7.2 - Civil penalty

Current through Register Vol. 46, No. 28, July 10, 2024
(a) An employer
				  who fails to give notice as required by the Act and this Part is subject to a
				  civil penalty of not more than five hundred dollars ($ 500) for each day of the
				  employer's violation, which shall be imposed in the aggregate and not
				  individually for each affected employee or other party that failed to receive
				  notice. The employer is not subject to a civil penalty under the Act or this
				  Part only if the employer pays each affected employee the total amount for
				  which the employer is liable under the Act and this Part, including back pay
				  and all fringe benefits, within three (3) weeks from the employee's date of
				  layoff, as defined in §
										921-1.1(c), due
				  to a plant closing, mass layoff, relocation, or covered reduction of work
				  hours. Paying employees their regular wages and benefits over the period of the
				  violation (that exceeds three weeks) does not exempt the employer from the
				  civil penalty. Employers making such payments shall include with the final
				  payment of wages or through some other form of notice provided at the time such
				  payment is made, the following notice: "You are hereby notified that, as a
				  result of your employment loss, you may be eligible to receive job retraining,
				  re-employment services, or other assistance with obtaining new employment from
				  the New York State Department of Labor or its workforce partners. You may also
				  be eligible for unemployment insurance benefits after your last day of
				  employment. You can access reemployment information and apply for unemployment
				  insurance benefits on the Department's website, and you may also use the
				  contact information provided on the website or visit one of the Department's
				  local offices to obtain further information and assistance."
(b) The total amount of penalties for which
				  an employer may be liable under the Act and this Part shall not exceed the
				  maximum amount of penalties for which the employer may be liable under the
				  federal law for the same violation.
(c) Any penalty amount paid by the employer
				  under federal law that the employer demonstrates to the Commissioner's
				  satisfaction has been paid prior to the issuance of the Commissioner's
				  determination, shall be considered a payment made for the purposes of this
				  rule.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-7 - Enforcement By The Commissioner Of Labor › Section 921-7.3 - Violation; liability

Current through Register Vol. 46, No. 28, July 10, 2024
(a) An
				  employer who fails to give notice to an employee entitled to receive notice
				  under this Part, is liable to each such employee, including part-time employees
				  for:
(1) Back pay at the average regular rate
				  of compensation received by the employee during the three years prior to the
				  date of termination, or the employee's final rate of compensation, whichever is
				  higher.
(i) Calculation for employees
				  receiving hourly based pay. The average regular rate of compensation is
				  calculated by dividing the total regular and overtime wages earned by the
				  employee during the three years prior to the date of termination by the number
				  of hours worked over the same three-year period. The final rate of compensation
				  is calculated by dividing the amount received by the employee in their last
				  paycheck prior to termination divided by the number of hours worked.
(ii) Calculation for employees receiving pay
				  other than hourly based pay. The average regular rate of compensation is
				  calculated by dividing the total regular and overtime wages earned by the
				  employee during the three years prior to the date of termination by the number
				  of days worked over the same three-year period. The final rate of compensation
				  is calculated by dividing the amount received by the employee in their last
				  paycheck prior to termination divided by the number of days worked. The number
				  of days worked is the number of days the employee was in active employment
				  status.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-7 - Enforcement By The Commissioner Of Labor › Section 921-7.4 - Administrative review

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Should the
				  commissioner identify any violations of the Act or this Part, he or she shall
				  notify the employer of such violations and the amounts due for wages, benefits,
				  and/or penalties associated with such violations. Such violations may, in the
				  commissioner's discretion, be set forth in the first instance in either a
				  notice of violation or a notice of violation accompanied by a notice of
				  hearing. In no event shall the commissioner issue an order or determination
				  addressing such violations without having first held a hearing in the matter,
				  except in those cases in which the employer has waived its right to such
				  hearing pursuant to a settlement upon terms acceptable to the
				  commissioner.
(b) Hearings.
				  Administrative hearings for a violation of the Act shall be conducted by an
				  employee of the Department of Labor designated by the commissioner to be the
				  hearing officer, who shall not be bound by statutory rules of evidence or by
				  technical or formal rules of procedure. The procedure found in 12 NYCRR Part
				  701, Procedural Rules for Hearings, shall be the sole and exclusive procedure
				  for the conduct of such hearings, notwithstanding any other provision of law.
				  The hearing officer, as soon after the conclusion of the hearing as possible,
				  on the basis of the record made in the proceeding, shall submit his or her
				  report and recommendation to the commissioner, who shall promptly thereafter
				  issue his or her order and determination.
(c) Determination and order of the
				  commissioner. If the commissioner shall determine that an employer has violated
				  any of the requirements of the Act or this Part, the commissioner shall issue
				  an order which shall include any penalties assessed by the commissioner and
				  file a notice of entry thereof in the office of the commissioner.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-7 - Enforcement By The Commissioner Of Labor › Section 921-7.5 - Appeals

Current through Register Vol. 46, No. 28, July 10, 2024
Within thirty (30) days of the filing of a notice of entry
					 of the order in the office of the Commissioner, any party aggrieved thereby may
					 commence a proceeding for the review thereof pursuant to article 78 of the
					 Civil Practice Law and Rules. Such proceeding shall be commenced directly in
					 the Appellate Division of the Supreme Court. If such order is not reviewed, or
					 is so reviewed and the final judicial decision is in favor of the Commissioner,
					 the Commissioner may file with the county clerk of the county where the
					 employer resides or has a place of business the order of the Commissioner
					 containing the amount found to be due. The filing of such orders shall have the
					 full force and effect of a judgment duly docketed in the office of such clerk.
					 The order may be enforced by and in the name of the Commissioner in the same
					 manner, and with like effect, as that prescribed by the CPLR for the
					 enforcement of a money judgement.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-7 - Enforcement By The Commissioner Of Labor › Section 921-7.6 - Distribution of back pay

Current through Register Vol. 46, No. 28, July 10, 2024
The commissioner shall distribute to all employees entitled
					 to notice under the Act and this Part any back pay and the value of any
					 benefits recovered from an employer who did not provide such
					 notice.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-7 - Enforcement By The Commissioner Of Labor › Section 921-7.7 - Admissibility of decision or order

Current through Register Vol. 46, No. 28, July 10, 2024
No decision or order issued pursuant to this Act shall be
					 admissible or used in evidence in any subsequent court proceeding except in an
					 action by the Commissioner or the employer to implement, enforce or challenge a
					 determination made by the Commissioner pursuant to this Act.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-8 - Confidentiality Of Information Obtained By The Commissioner Of Labor › Section 921-8.1 - Confidentiality of information obtained by the commissioner of labor

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Except as
				  otherwise provided in this subpart information obtained by the commissioner
				  through the administration of the Act from an employer and which is not
				  otherwise obtainable by the commissioner under the Labor Law or rules or
				  regulations promulgated thereunder shall:
(1)
				  be confidential; and
(2) not be
				  published or opened to public inspection.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XII - Division Of Employment And Training › Part 921 - New York State Worker Adjustment And Retraining Notification (warn) Requirements › Subpart 921-9 - Preservation Of Other Rights And Remedies › Section 921-9.1 - Other rights

Current through Register Vol. 46, No. 28, July 10, 2024
The provisions of this Part, including but not limited to
					 notice requirements, shall not be used to alter, abridge, or affect the
					 employment status or rights of any employee entitled to relief under this Act,
					 where the employee's status or rights have been otherwise defined or determined
					 by statute, contract or collective bargaining agreement. The rights and
					 remedies provided to employees by the Act and its regulations are in addition
					 to, and not in lieu of, any other contractual or statutory rights and remedies
					 of the employees, and are not intended to alter or affect such rights and
					 remedies, except that the period of notification required by the Act shall run
					 concurrently with any period of notification required by contract or any other
					 statute. Nothing in this Part shall be read to abridge, mitigate, reduce,
					 remove, or otherwise affect an employer's responsibility to comply with the
					 notice requirements set forth in the federal Worker Adjustment and Retraining
					 Notification Act and regulations promulgated thereunder.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XIII - Membership In Council Of Contracting Agencies › Part 1000 - Membership In Council Of Contracting Agencies › Section 1000.1 - Purpose and scope

Current through Register Vol. 46, No. 28, July 10, 2024
The purpose of this Part is to provide for the participation
				  by the Department of Labor in the Council of Contracting Agencies as required
				  by Executive Order No. 125, dated May 22, 1989.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XIII - Membership In Council Of Contracting Agencies › Part 1000 - Membership In Council Of Contracting Agencies › Section 1000.2 - Participation

Current through Register Vol. 46, No. 28, July 10, 2024
The Department of Labor, a member of the council pursuant to
				  Executive Order No. 125, will participate in and comply with the activities and
				  procedures of such council.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XIII - Membership In Council Of Contracting Agencies › Part 1000 - Membership In Council Of Contracting Agencies › Section 1000.3 - Exchange of information

Current through Register Vol. 46, No. 28, July 10, 2024
The Department of Labor shall, during each month, forward a
				  notice to all members of the Council of Contracting Agencies, stating the name,
				  address and Federal identification number of each contractor determined by the
				  department, during the preceding monthly period, to have violated any provision
				  of article 8 or 9 of the Labor Law or the related regulations of the department
				  and describing the nature of such violation. Such notice shall indicate whether
				  the department has found such violation to be willful, and whether such
				  violation constitutes a second willful violation within a six-year period,
				  subjecting the contractor to the debarment provisions of Labor Law, section
				  220-b(2)(b). In cases
				  involving debarment, such notice shall further indicate the beginning and
				  ending dates of the five-year debarment period imposed by that
				  law.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XV - Division Of Research And Statistics › Part 1500 - Methodology For Establishing Labor Cost Statistics › Section 1500.1 - Purpose

Current through Register Vol. 46, No. 28, July 10, 2024
The purpose of this Part is to prescribe the methodology for
				  establishing an ongoing monthly statewide "cost of labor index" and an annual
				  county or appropriate multi-county "labor market composite wage rate,"as
				  required by Labor law section 21 [13].
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Chapter XV - Division Of Research And Statistics › Part 1500 - Methodology For Establishing Labor Cost Statistics › Section 1500.3 - Calculations

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Composite wage
				rate =((prevailing wages + prevailing benefits for carpenter) + (prevailing
				wages + prevailing benefits for electrician) + (prevailing wages + prevailing
				benefits for plumber)) / 3.
(b)
				Cost of labor index = 100 + (0.55 x (National Producer Price Index (NPPI) for
				the construction industry - 100)) + (0.45x (statewide Current Employment
				Statistics Index (CESI) for the construction industry - 100)), where both the
				NPPI and the CESI are first adjusted to reflect percentage change from a common
				base year.
(c) Composite weighted
				average hourly wage for construction industry employees = ((average hourly wage
				for SIC 15 employees statewide) (total number of SIC 15 employees statewide)
				+(average hourly wage for SIC 17 employees statewide) (total number of SIC 17
				employees statewide)) / (total number of SIC 15 and SIC 17 employees
				statewide).
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix A

Current through Register Vol. 46, No. 28, July 10, 2024
(cf. Part 440)
NOTIFICATION CONCERNING PAYMENT FOR MEDICATION
Dear [Name]
[Carrier or self-insured employer] has filed papers with the
				workers' compensation board contesting your claim for workers' compensation
				benefits. Under state law, an insurance company is not required to reimburse a
				worker for medications while it is contesting the claim, and we have chosen not
				to do so.
However, the Worker's Compensation Board requires that we
				notify you of the following. While we are contesting the claim, the following
				rules apply:
[*] You may obtain your medications from any pharmacy. You are
				not required to use a pharmacy designated by [carrier or self-insured
				employer].
[*] If you prevail on your claim, [carrier or self-insured
				employer] must reimburse you or the pharmacy directly (if it extends you
				credit). The specific amount of the reimbursement may differ from the amount
				you paid, and is set by the Workers' Compensation Board based on the kind of
				medication you purchase. If you have any questions about this, please contact
				the Board at 1-877-632- 4996.
[*] If you do not prevail on your claim, [carrier or
				self-insured employer] is not required to reimburse you or the pharmacy.
If you have any questions or problems, you may call us at [toll
				free number], or find further information at [website]. In addition, you may
				contact the Workers' Compensation Board at 1-877-632-4996 or the Advocate for
				Injured Workers at 800-580-6665, or you can find further information on the web
				at www.wcb.state.ny.us
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix A-11

Current through Register Vol. 46, No. 28, July 10, 2024
TNT-IRON OXIDE
INSENSITIVE POWDER TEST
(See §
								39.6[h],
				supra)
INGREDIENTS
TNT--refined TNT. Melting point not less than 80 degrees
				Centigrade.
Iron oxide. Red iron oxide containing 95 percent to 98 percent
				FE 2 0 3, with a yellowish tone
				on reduction. Moisture content less than 0.1 percent.
PREPARING INSENSITIVE POWDER
Before mixing, the ingredients are sieved through a 30 mesh
				screen to remove lumps and coarse particles. For mixing, the desired proportion
				of each ingredient is weighed and they are sieved together through a 30 mesh
				screen 10 times. Sufficient mixture of a given ratio of TNT and iron oxide
				should be prepared in one batch to test all the caps which are to be fired in
				that mixture. The mixed powder is tamped uniforqqly by hand into one and
				one-quarter inch by four inch paraffin-sprayed shells to a density such that
				the finished cartridges weigh approximately 70 grams each.
TESTING PROCEDURE
In carrying out the test, a cap is inserted in the hand-crimped
				end of the cartridge as in priming a stick of dynamite. Blasting caps are
				inserted so that the top of the shell is even with the end of the cartridge,
				while electric blasting caps are embedded in the powder up to the bead. The
				assembly of cartridge and cap is fired in a vertical position. It the
				insensitive powder completely detonates, there is no residue; but if it fails,
				a stub or butt crimp of the cartridge remains after the shot.
INTERPRETATION OF RESULTS
Iron oxide desensitizes TNT, and the greater the proportion of
				iron oxide in that mixture, the less sensitive that mixture becomes, and the
				stronger the cap must be in order to detonate the mixture. A comparison of the
				strength of caps is therefore possible by determining the percentage of
				detonations and failures with a given insensitive mixture or by comparing the
				caps with several insensitive mixtures of varying degree of
				sensitiveness.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix B

Current through Register Vol. 46, No. 28, July 10, 2024
(cf. Part 440)
NOTIFICATION CONCERNING WORKERS' COMPENSATION PHARMACY
				BENEFITS
Please read this notice carefully. It provides you with
				important information on getting medication under a workers' compensation claim
				under a new law enacted in March 2007.
As of [date], [Name of carrier] has entered into an agreement
				with [certain pharmacies/a pharmacy benefit manager] to make available the
				medications workers may receive for their work-related injury or sickness. This
				does not change your right to get the medication necessary to treat such
				illness or injury. It only means that you must obtain that medication from
				[these pharmacies or pharmacy chains/the pharmacies or pharmacy chains
				identified by the pharmacy benefit manager]. [These pharmacies/this pharmacy
				benefit manager] are set forth on the attached sheet:
If you are obtaining your medication through a workers'
				compensation claim, you need to obtain that medication from one of these
				pharmacies unless:
[*] You have a medical emergency and it is not reasonably
				possible to purchase the medications you need for that emergency.
[*] Ordering by mail or telephone is not an option in the
				network, no pharmacy in the network will deliver to you, and none of these
				pharmacies is within ten miles if you live in a rural area, or one mile if not.
				If you believe this is the case for you, please call one of the numbers on the
				bottom of this page.
Please note that certain pharmacies you may be required to use
				are Internet, mail-order or telephone pharmacies. An order can be placed with
				them by [Describe procedures for such order.]
All pharmacies are required to keep a sufficient stock of
				medication on hand so that they can service you without undue delay.
All in-store pharmacies must be open for business during hours
				that are typical in your community, and must post a sign saying that they serve
				injured workers who receive their benefits from [carrier].
These pharmacies will directly bill [carrier] so you will not
				have to pay out of pocket.
You may obtain additional information about [these pharmacies]
				from the following website: [list website], or toll free 24 hour telephone
				number: [list number].
If you have any questions or problems, please call [Name and
				Number for carrier information] or Workers' Compensation Board at
				1-877-632-4996 or the Board's Advocate for Injured Workers at 800-580-6665, or
				you can find further information on the web at
				www.wcb.state.ny.us.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix C-1

Current through Register Vol. 46, No. 28, July 10, 2024
(cf. Part 440)
NOTIFICATION CONCERNING WORKERS' COMPENSATION PHARMACY
				BENEFITS
Please read this notice carefully. It provides you with
				important information on getting medication under a workers' compensation claim
				under a new law enacted in March 2007.
As of [date], [Name of carrier] has entered into an agreement
				with certain pharmacies to make available the medications workers may receive
				for their work-related injury or sickness. This does not change your right to
				get the medication necessary to treat such an illness or injury. It only means
				that you must obtain that medication from these pharmacies. These pharmacies,
				and their addresses, are on the attached sheet.
If you are obtaining your medication through a workers'
				compensation claim, you need to obtain that medication from one of these
				pharmacies unless:
[*] You have a medical emergency and it is not reasonably
				possible to purchase the medications you need for that emergency.
[*] A mail-order, telephone or Internet pharmacy is not an
				option in the network, no pharmacy in the network will deliver to you, and none
				of these pharmacies is within ten miles if live in a rural area, or one mile if
				not. If you believe this is the case for you, please call one of the numbers on
				the bottom of this page.
Please note that [names of relevant pharmacies] are Internet,
				mail-order or telephone pharmacies. An order can be placed with them by
				[Describe procedures for mail order.]
All pharmacies on the attached list are required to keep a
				sufficient stock of medication on hand so that they can service you without
				undue delay.
All in-store pharmacies must be open for business during hours
				that are typical in your community, and must post a sign saying that they serve
				injured workers who receive their benefits from [carrier].
These pharmacies will directly bill [carrier] so you will not
				have to pay out of pocket.
If you have any questions or problems, please call [Name and
				Number for carrier information] or Workers' Compensation Board at
				1-877-632-4996 or the Board's Advocate for Injured Workers at 800-580-6665, or
				you can find further information on the web at
				www.wcb.state.ny.us.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix D-1

Current through Register Vol. 46, No. 28, July 10, 2024
RULES AND REGULATIONS
FOR
SAFETY TRADE ASSOCIATION GROUP NO. ________
ESTABLISHED
______
(date) UNDER THE BASIC RULES FOR SUCH GROUPS
ADOPTED BY THE COMMISSIONERS OF THE STATE INSURANCE FUND
1. NAME - The name of this group shall be
			 ____________
____________
____________
Group No. ________ hereinafter referred to as the
				"Group."
2. OBJECTIVES
This Safety Group is formed for the following purposes:
A. The prevention of occupational accidents
			 and diseases, and the formulation of a sound safety program.
B. The encouragement of improved medical care
			 of the employees.
C. The reduction
			 of the cost of compensation insurance to members of this Safety Group.
Incidental to these objectives is the encouragement of members
				to assist in the proper handling of claims and payroll information.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix D-2

Current through Register Vol. 46, No. 28, July 10, 2024
RULES AND REGULATIONS
FOR
SAFETY TRADE GROUP NO. ________
ESTABLISHED
______
(date) UNDER THE BASIC RULES FOR SUCH GROUPS
ADOPTED BY THE COMMISSIONERS OF THE STATE INSURANCE FUND
1. NAME - The name of this group shall be
			 ____________
____________
____________
Group No. ________ hereinafter referred to as the
				"Group."
2. OBJECTIVES
This Safety Group is formed for the following purposes:
A. The prevention of occupational accidents
			 and diseases, and the formulation of a sound safety program.
B. The encouragement of improved medical care
			 of the employees.
C. The reduction
			 of the cost of compensation insurance to members of this Safety Group.
Incidental to these objectives is the encouragement of members
				to assist in the proper handling of claims and payroll information.
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix F-1

Current through Register Vol. 46, No. 28, July 10, 2024
FLAMMABILITY OF CLOTHING TEXTILES
(Commercial Standard 191-53, issued by the U.S. Department of
				Commerce)
NOTE. --All fabrics of natural or regenerated cellulose, as
				well as certain types of finished and unfinished fabrics made from other
				natural or synthetic fibers, are combustible. Some combustible fabrics, when
				used for clothing, are potentially dangerous to the wearer because of the speed
				and intensity of flame with which those fabrics burn and their ease of
				ignition, and because of the design of the garment. Two of these factors, the
				ease of ignition and the speed of flame spread, can be measured with the
				instrument described herein.
It is suggested that measurement of these two factors, together
				with visual observation of flame intensity, will permit the separation of
				various fabrics into three classes of flammability, thus assisting in a
				judgment of fabric suitability for clothing.
1. PURPOSE
1.1 The purpose of this standard is to reduce danger of injury
				and loss of life by providing, on a national basis, standard methods of testing
				and rating the flammability of textiles and textile products for clothing use,
				thereby discouraging the use of any dangerously flammable clothing
				textiles.
2. SCOPE
2.1 The standard provides methods of testing the flammability
				of clothing and textiles intended to be used for clothing, [FN1] establishes
				three classes of flammability, sets forth the requirements which textiles shall
				meet to be so classified, and warns against the use of those textiles which
				have burning characteristics unsuitable for clothing.
2.2 Specific exceptions. --This standard shall not apply
				to--
(a) Hats, gloves, and
			 footwear
(b) Interlining fabrics
			 [FN2]
New York Codes, Rules and Regulations › Title 12 - DEPARTMENT OF LABOR › Appendices › Appendix F-3

Current through Register Vol. 46, No. 28, July 10, 2024
LARGE CARPETS AND RUGS
Standard for the Surface Flammability of Large Carpets and
				Rugs
(DOC FF 1-70, issued by the U.S.
Secretary of Commerce.)
.1 Definitions.
.2Scope and Application.
.3General Requirements.
.4 Test Procedure.
.5 Labeling.
.1 Definitions. In addition to the
			 definitions given in section 2 of the Flammable Fabrics Act, as amended (sec.
			 1, 81 Stat. 568;
			 15
			 U.S.C. 1191), and §7.2 of the Procedures (33
			 F.R. 14642, Oct. 1, 1968), the following definitions apply for the purposes of
			 this Standard:
(a) "Acceptance Criterion"
			 means that at least seven out of eight individual specimens of a given carpet
			 or rug shall meet the test criterion as defined in this Standard:
(b) "Test Criterion" means the basis for
			 judging whether or not a single specimen of carpet or rug has passed the test
			 i.e., the charred portion of a tested specimen shall not extend to within 2.54
			 cm. (1.0 in.) of the edge of the hole in the flattening frame at any
			 point.
(c) "Carpet" means any type
			 of finished product made in whole or in part of fabric or related material and
			 intended for use or which may reasonably be expected to be used as a floor
			 covering which is exposed to traffic in homes, offices, or other places of
			 assembly or accommodation, and which may or may not be fastened to the floor by
			 mechanical means such as nails, tacks, barbs, staples, adhesives, and which has
			 one dimension greater than 1.83 m. (6 ft.) and a surface area greater than 2.23
			 m. 2 (24 sq. ft.). Products such as "carpet squares", with one dimension less
			 than 1.83 m. (6 ft.) and a surface area less than 2.23 m. 2 (24 sq. ft.), but
			 intended to be assembled upon installation into assemblies which may have one
			 dimension greater than 1.83 m. (6 ft.) and a surface area greater than 2.23 m.
			 2 (24 sq. ft.), are included in this definition. Mats, hides with natural or
			 synthetic fibers, and other similar products in the above defined dimensions
			 are included in this definition, but resilient floor coverings such as
			 linoleum, asphalt tile and vinyl tile are not.
(d) "Rug" means the same as carpet and shall
			 be accepted as interchangeable with carpet.
(e) "Traffic Surface" means a surface of a
			 carpet or rug which is intended to be walked upon.
(f) "Timed Burning Tablet" (pill) means the
			 methenamine tablet, weighing approximately 0.149 gram (2.30 grains), sold as
			 Product No. 1588 in Catalog No. 79, December 1, 1969, by the Eli Lilly Company
			 of Indianapolis, Ind. 46206, or an equal tablet.
(g) "Fire-Retardant Treatment" means any
			 process to which a carpet or rug has been exposed which significantly decreases
			 the flammability of that carpet or rug and enables it to meet the acceptance
			 criterion of this Standard.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter I - General › Part 1 - Distribution Of Printed Matter › Section 1.1 - Sale of documents-general

Current through Register Vol. 46, No. 28, July 10, 2024
The sale and distribution of blanks, reports, pamphlets and
				  other documents printed by the Department of Law, shall be under the
				  supervision of the Attorney-General.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter I - General › Part 1 - Distribution Of Printed Matter › Section 1.2 - Free copies

Current through Register Vol. 46, No. 28, July 10, 2024
Single copies of any departmental item of printing will be
				  furnished without charge to the Governor; members of the Legislature; heads of
				  other State departments; members of the press; for the necessary and proper use
				  in the conduct of the official business of the department, schools, libraries
				  and other institutions not carried on for profit. Officers and employees of the
				  Federal government; officers and employees of any political subdivision of the
				  State of New York; officers and employees of other States and political
				  subdivisions thereof, whenever such State or other jurisdiction shall extend
				  reciprocal courtesy to this State and its subdivisions; and to other persons in
				  the discretion of the Attorney-General, not to exceed an annual aggregate of 25
				  copies for any single item.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter I - General › Part 1 - Distribution Of Printed Matter › Section 1.3 - Rates for sale to public

Current through Register Vol. 46, No. 28, July 10, 2024
Printed matter for public distribution will be furnished upon
				  application to all other persons upon receipt of a cash payment, in accordance
				  with the established rates as per the following schedule:
Annual volume--formal and informal opinions (clothbound)
				  $10
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.1 - Registration of securities broker-dealers, issuers, and salespersons; effective date

Current through Register Vol. 46, No. 28, July 10, 2024
All forms referenced in this Part are viewable at
					 https://ag.ny.gov/forms.
(a) In
				  compliance with subdivisions 3 and 13 of section 359-e  of the General Business Law (GBL
				  § 359-e),
(1) All brokers and dealers
				  whose principal business is in the offering, sale or promotion of cooperative
				  or homeowners association interests in real estate, including condominium
				  units, shall file Form M-10 (Real Estate)
(2) All dealers that are issuers of
				  securities not subject to subdivision (1) of this section and not classified as
				  Federal Regulation D Covered Securities Dealers, Federal Tier 2 Dealers, or
				  Federal Covered Investment Company Dealers herein, shall file Form
				  M-11.
(3) All Federal Regulation D
				  Covered Securities Dealers shall file Form D. The Attorney General hereby deems
				  that the pertinent information to be filed for purposes of satisfying GBL
				  § 359-e for Federal Regulation D Covered Securities Dealers shall be all
				  information required on Form D.
(4)
				  All Federal Tier 2 Dealers shall file the Uniform Notice Filing of Regulation A
				  - Tier 2 Offering Form. The Attorney General hereby deems that the pertinent
				  information to be filed for purposes of satisfying GBL § 359-e for Federal
				  Tier 2 Dealers shall be all inf ormation required by the Uniform Notice Filing
				  of Regulation A - Tier 2 Offering Form.
(5) All Federal Covered Investment Company
				  Dealers shall file Form NF. The Attorney General hereby deems that the
				  pertinent information to be filed for purposes of satisfying GBL § 359-e
				  for Federal Covered Investment Company Dealers shall be all information
				  necessary to complete the Form NF for each individual fund or portfolio offered
				  by such dealer.
(6) All other
				  brokers and dealers shall file Form M-1, except as provided elsewhere in this
				  part.
(7) All securities
				  salespersons, including those engaged in the sale of intrastate offerings, real
				  estate syndication, cooperative, condominium or homeowners' association
				  interests in real estate unless deemed already in compliance with registration
				  statement filing requirements under GBL § 359-e (3), shall file Form M-2,
				  except as provided below.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.3 - Supplemental broker-dealer statements for non-FINRA members

Current through Register Vol. 46, No. 28, July 10, 2024
(a) In compliance with subdivision 4 of
				  section 359-e  of the General Business Law, except
				  as provided hereinafter, every broker or dealer in securities who is not a
				  member of FINRA and who shall have filed a Form M-1 broker-dealer statement, or
				  a Form BD with the Department of Law of the State of New York, shall file a
				  Form M-3, supplemental broker-dealer statement, whenever any of the following
				  changes have taken place to indicate the change of information originally
				  filed:
(1) Name. The changes in name of the
				  registrant (in the event the registrant incorporates, an entirely new
				  registration statement must be filed).
(2) Address. Change of business address and
				  address of new branch offices in New York.
(3) Management. Changes in the officers,
				  directors, partners or other principals of the registrant, giving the new names
				  and addresses involved in such changes.
(4) Salespersons. Changes in securities
				  salespersons, giving name and date of termination of any securities salesperson
				  leaving the registrant's employ and the reasons therefor, and the name and
				  commencement date of any salesperson brought into the employ of the
				  registrant.
(5) Injunctions and
				  other proceedings. Each registrant shall file a supplemental broker-dealer
				  statement upon each occasion when the registrant or any officer, director,
				  partner, principal or salesperson thereof becomes the subject of any criminal
				  action, or is convicted of any misdemeanor or felony, or is the subject of any
				  pending civil action commenced by a government agency relating to the offer or
				  sale of securities or commodities, or is the subject of any injunction or cease
				  and desist order relating to the offer or sale of securities or
				  commodities.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.4 - Supplemental salesperson's statement for salespersons employed by a non-FINRA member firm

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Every
				  salesperson of securities employed by a non-FINRA member firm, and who has
				  already filed a salesperson's statement or a Form U4 with the Department of Law
				  of the State of New York shall file a Form M-4, supplemental salesperson's
				  statement, whenever any of the following changes have taken place to indicate
				  the change of information originally filed:
(1) Name. The change of name of the
				  registrant.
(2) Address. Change of
				  residence address of the registrant.
(3) Termination of employment. Termination of
				  employment as a salesperson, giving the date of termination and reason
				  therefor.
(4) Change of employment.
				  Information as to a change of employment, giving the name and address of the
				  new firm and the date of commencement of employment as a salesperson.
(5) Injunctions and other proceedings. Each
				  registrant shall file a supplemental salesperson's statement upon each occasion
				  when the registrant becomes the subject of any criminal action, or is convicted
				  of any misdemeanor or felony, or is the subject of any pending civil action
				  commenced by a governmental agency relating to the offer or sale of securities
				  or commodities, or is the subject of any injunction or cease and desist order
				  relating to the offer or sale of securities or commodities.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.5 - Fee for supplemental statements

Current through Register Vol. 46, No. 28, July 10, 2024
The filing of any supplemental information pursuant to
					 section
					 10.3
					 or
					 10.4 
					 of this Part must be accompanied by the current statutory fee of $ 30 for each
					 filing. Checks for filings made directly with the Department of Law of the
					 State of New York shall be made payable to it. Once the Department of Law
					 implements a mandatory electronic filing or payment system, such fees shall be
					 paid electronically, unless a filer can demonstrate a material hardship
					 presented by such electronic payment method. In the case of hardship, the
					 Department of Law may accept payment by check or other means at the Department
					 of Law's discretion. No f ee is required for any supplemental statement
					 submitted by a salesperson which reports only the cancellation of a
					 salesperson's registration.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.6 - Alternative method of filing supplemental salesperson's and broker-dealer statements and fees attendant thereto

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The requirements of sections
				  10.3
				  and
				  10.4 
				  of this Part shall be fulfilled through the CRD system with regard to a firm
				  that is a member of FINRA and its salespersons.
(b) The filing of supplemental or amendatory
				  information with the CRD system. shall be made on current Forms U4, U5, B D or
				  BDW only. No fee is required to report a change of information on a Form BD or
				  to terminate a registration on Form BDW. The filing of a single Form U4 to
				  report the change of employment of a salesperson shall be deemed to satisfy the
				  requirements of section
				  10.3(a)(4) 
				  of this Part.
(c) All filings that,
				  pursuant to sections
				  10.3(a)(4)
				 and
				  10.4(a)(4),
				  report a change of employment to a new broker-dealer will require a fee of $
				  60.
(d) In the event of a mass
				  transfer of employment from one FINRA member firm to another caused by
				  acquisition, merger or change of entity, the CRD system shall execute said
				  transfer in accordance with the guidelines established for such by the CRD
				  system. All such mass transfers will require the payment of a $ 30 fee by the
				  broker-dealer and a $ 30 fee f or each salesperson transferred, payable through
				  the CRD system.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.7 - Annual renewal for FINRA member broker-dealers

Current through Register Vol. 46, No. 28, July 10, 2024
(a) An initial single renewal invoice f or
				  the renewal of broker-dealer and salesperson's registrations will be sent by
				  the CRD system to each firm before the end of each year.
(b) Each broker-dealer shall pay the invoice
				  amount, pursuant to the fee schedule set forth in this Part, directly to FINRA
				  before the payment date indicated on the renewal invoice.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.8 - Filing fees

Current through Register Vol. 46, No. 28, July 10, 2024
(a) The
				  Department of Law shall collect the following fees:
(1) $ 1,200 for each M-1 broker-dealer
				  statement or Form BD filed by a non-FINRA member firm and for each Form NF
				  filed;
(2) $ 1,200 for each M-11
				  issuer statement, Form D, or Uniform Notice Filing of Regulation A - Tier 2
				  Offering form where the amount of the offering is in excess of $ 500,000;
(i) All brokers and dealers whose principal
				  business is in the offering, sale or promotion of real estate securities in or
				  from the state of New York also shall pay the filing fees required by GBL
				  § 352-e(7)(a).
(3) $
				  300 for each M-11 issuer statement, Form D, or Uniform Notice Filing of
				  Regulation A - Tier 2 Offering form where the amount of the offering is $
				  500,000 or less;
(i) All brokers and dealers
				  whose principal business is in the offering, sale or promotion of real estate
				  securities in or from the state of New York also shall pay the filing fees
				  required by GBL § 352-e(7)(a).
(4) $ 150 for each salesperson's statement,
				  including Form M-2;
(5) $ 30 for
				  each supplemental statement, including an amended Form D and other supplemental
				  forms; and
(6) $ 300 for each M-10
				  (Real Estate) broker-dealer statement filed for or by a broker-dealer offering
				  for sale, selling or promoting cooperative or homeowners association interests
				  in real estate, including condominium units, plus $ 15 for each partner,
				  officer, director or principal of any such firm, association or
				  corporation.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.9 - Filing time limit

Current through Register Vol. 46, No. 28, July 10, 2024
The information required by sections
					 10.3,
					 10.4 and
					 10.6  of this Part shall be filed
					 no later than 30 days after the change in circumstances has
					 occurred.
New York Codes, Rules and Regulations › Title 13 - DEPARTMENT OF LAW › Chapter II - SECURITIES TRANSACTIONS AND PERSONNEL › Subchapter A - SECURITIES-GENERAL › Part 10 - BROKERS, DEALERS AND SALESPERSONS › Section 10.10 - Definitions

Current through Register Vol. 46, No. 28, July 10, 2024
(a) Definitions;
(1) A "broker-dealer" is a person or entity
				  that acts as either a broker or a dealer, or both.
(2) "Federal Covered Investment Company
				  Securities" are any security or securities that meet the definition of covered
				  securities, or that will meet such definition upon completion of the
				  transaction, under Section 18 (b)(2) of the Securities Act of 1933 (15 USC
				  77r(b)(2)).
(3) A "Federal Covered Investment Company
				  Dealer" is any person, firm, association, or corporation satisfying the
				  definition of dealer under GBL 359-e (1)(a) that offers for sale or sells
				  Federal Covered Investment Company Securities.
(4) "Federal Regulation D Covered Securities"
				  are any security or securities that meet the definition of covered securities,
				  or that will meet such definition upon completion of the transaction, under
				  Sections 18(b)(4)(F) of the Securities Act of 1933 (15 USC
				  77r(b)(4)(F)).
(5) A "Federal Regulation D Covered
				  Securities Dealer" is any person, firm, association, or corporation satisfying
				  the definition of dealer under GBL § 359-e (1)(a) that offers or sells
				  Federal Regulation D Covered Securities.
(6) "Federal Tier 2 Securities" are any
				  security or securities that meet the definition of covered securities, or that
				  will meet such definition upon completion of the transaction, under Section
				  18(b)(3) or (b)(4)(D)(ii) of the Securities Act of 1933 (15 USC
				  77r(b)(3) or (b)(4)(D)(ii)).
(7) A "Federal Tier 2 Dealer" is
				  any person, firm, association, or corporation satisfying the definition of
				  dealer under GBL § 359-e (1)(a) that offers or sells Federal Tier 2
				  Securities.
(8) A "Salesperson" has
				  the same definition as "salesman" under GBL § 359-e
				  (1)(c).