N.Y. Comp. Codes R. & Regs. tit. 9 § 4205.1

Current through Register Vol. 46, No. 45, November 2, 2024

Section 4205.1 - License required

(a) No person shall participate in the affairs of any association or corporation licensed by the commission to conduct quarter horse race meetings at which pari-mutuel betting is permitted as director, officer, agent or employee of such track licensee, unless such person shall have received an occupational license from the commission.

(b) No person shall participate in or at any quarter horse race meet as owner, trainer, assistant trainer, jockey, groom, farrier, veterinarian, agent, goods supplier, salesman, jockeys' agents, stable employees, authorized agent, sub-agent, stable manager and any other employee of an owner associated with such owner's racing activities or be the holder or operator of any concession (if a corporation a license shall also be required of officers and directors and its employees) or perform any service, including but without limiting the generality thereof, the conduct of negotiations on behalf of any person or persons who engage in any racing activities or perform any services in connection with the conduct of any quarter horse race meeting, or engage in any occupation or employment at any quarter horse race meet, unless such persons shall have received an occupational license from the commission with the following exceptions:

(1) public officers and public employees engaged in the performance of their official duties; or

(2) persons exempted by the commission from the occupational license requirement.

(c) It shall be the responsibility of each track licensee to prevent any person not holding an occupational license from doing or performing any act or acts at its track.

(d) No person requiring a license from the commission shall carry on any activities whatsoever upon the premises of a licensed racing association unless and until he has been so duly licensed, except that any such person may apply for and receive a temporary license pending action on his application for a license.

(e) The application for a license shall be in writing in such form as the commission may prescribe and contain such information as the commission may require and it shall be duly sworn to before a notary public or commissioner of deeds. It shall be accompanied by the amount of the license fee therefor in such form as may be acceptable to the commission. When so instructed by the commission or if it may be required by the commission, the applicant shall file with such application, fingerprints and photographs. The fingerprints so obtained shall be transmitted by the commission to any governmental agency, Federal or State, selected by the commission for the purposes of establishing identity and previous criminal record, if any, of the applicant.

(f) Upon the commission's request, an applicant for an occupational license shall furnish to the commission such records or information whether relating to service in the armed services, treatment for any physical or mental condition, confinement in any institution or any other information or records which may be deemed necessary by the commission. Failure to furnish such records and information, if available, and if not available to cooperate with and assist the commission in obtaining such records and information, shall be grounds for denial, suspension or revocation or fine by the commission.

(g) No license as an owner shall be granted to the lessee or lessees of any corporation, syndicate or partnership, unless such corporation, syndicate or partnership shall have no more than 35 stockholders or members, as the case may be, each of whom shall be the registered and beneficial owner of stock or membership in such corporation, syndicate or partnership; and every such stockholder or member is required to be licensed as an owner; provided, however, that the commission may waive this rule with respect to any one horse owned by any said corporation, syndicate or partnership, to enable it to participate in a race on a specified date. For the purposes of this rule, the stockholders or members who bear to each other the relationship of persons married to each other, parent and child, or any other blood relationship with either of such parents shall be regarded collectively as one stockholder or member, as the case may be.

(h) The stockholder or members of any corporation, syndicate or partnership which leases horses for racing purposes in the State of New York and also any such corporation, syndicate or partnership shall make and file with the commission, if and when requested by it, a report or reports under oath containing such information as the commission may specify; and upon refusal or failure to file any such report or reports, the commission may refuse a license to any lessee or lessees of such corporation, syndicate or partnership or may revoke any such license which it may have granted.

(i) Each applicant shall pay an annual license fee at the time of the filing of the application. The license fees to be paid shall be as follows: original owner--$100; owner renewal, jockey--$50; trainer, assistant trainer, veterinarian, jockey agent, farrier, track management--$20; stable employees (grooms, etc.), cleaning and food service workers, exercise rider, authorized agent--$5; all others--$10. Such fees shall be multiplied by two for two-year terms and by three for three-year terms.

(j) Each such license, unless revoked for cause, shall be for the period of no more than one, two or three years, expiring on the applicant's birth date. Licenses current on the effective date of this rule shall not be reduced in duration by this provision. An applicant who applies for a license that, if issued, would take effect less than six months prior to the applicant's birth date may, by payment of a 50 percent higher fee, receive a license which shall not expire until the applicant's second succeeding birth date. A renewal license for owner, trainer, assistant trainer, jockey, jockey agent, racing official, mutuel employee, veterinarian, farrier, track management or track security employee shall be for three years unless an individual establishes good cause for a shorter term or the commission in its discretion determines a shorter term.

(k) Should a licensee lose a license or should a license in some manner be destroyed, such licensee may apply for a duplicate license by filing an affidavit on a form supplied by the commission and the payment of a fee of $5.

(l) If the commission shall find that the financial responsibility, experience, character, of the applicant are such that the participation of such person will be consistent with the public interest, convenience or necessity, and with the best interests of racing generally, in conformity with the purposes of the law, it shall thereupon grant a license. If the commission shall find that the applicant fails to meet any of said conditions, it shall not grant such license and it shall notify the applicant of the denial.

(m) The commission may refuse to issue or renew a license or may suspend or revoke a license issued pursuant to this Part if it shall find that the applicant or any person who is a partner, agent or employee or associate of the applicant has been convicted of a crime in any jurisdiction, or is or has been associating or consorting with any person who has, or persons who have been, convicted of a crime or crimes in any jurisdiction or jurisdictions, or is consorting or associating with or has consorted or associated with bookmakers, touts, or persons of similar pursuits, or has himself engaged in similar pursuits or is financially irresponsible or has been guilty of or attempted any fraud or misrepresentation in connection with racing, breeding or otherwise, or has violated or attempted to violate any law with respect to racing in any jurisdiction or any rule, regulation or order of the commission or shall have violated any rule of racing which shall have been approved or adopted by the commission.

(n) It shall be the responsibility of the trainer to determine that every person employed by him at a licensed track and every assistant trainer, groom, clerk, assistant or other person working regularly in his stable at a licensed track is licensed by the commission. Any participant at a licensed track under circumstances in which the trainer by the exercise of reasonable discretion has reason to believe that said participant has not been licensed by the commission, shall report such circumstances to the commission.

(o) No unlicensed person shall be in or be present in the stable area, paddock, racing strip, infield or mutuel area of a track without permission from the commission and each track shall use all practicable measures to enforce the above restrictions.

(p) In addition to its powers to suspend or revoke a license, the commission may impose such civil penalty as it deems advisable under the circumstances.

(q) A denial of or refusal to issue a license shall be subject to adjudication in accordance with Racing, Pari-Mutuel Wagering and Breeding Law section 420 and the provisions of Part 4550 of this Chapter.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 4205.1

Amended New York State Register July 20, 2022/Volume XLIV, Issue 29, eff. 7/20/2022