§ 22 — Fingerprints

New York § 22

• Jurisdiction: New York
• Law BNK: Banking
• Art. 2: Department of Financial Services; Superintendent of Financial Services; Supervisory and Regulatory Powers

Text

§ 22. Fingerprints. (a) Notwithstanding any other provision of law,\nevery applicant for a license, authorization or registration under\narticles nine, nine-A, eleven-B, twelve-B, twelve-C, twelve-D, twelve-E\nand thirteen-B of this chapter and every applicant filing an application\nto acquire control of any licensee or registrant, as the case may be,\nunder such articles shall submit simultaneously with an application, his\nor her fingerprints in such form and in such manner as specified by the\ndivision of criminal justice services, but in any event, no less than\ntwo digit imprints. The superintendent shall submit such fingerprints to\nthe division of criminal justice services for the purpose of conducting\na criminal history search and returning a report thereon in accordance\nwith the procedures and requirements established by the division\npursuant to the provisions of article thirty-five of the executive law,\nwhich shall include the payment of the prescribed processing fees. The\nsuperintendent shall request that the division submit such fingerprints\nto the federal bureau of investigation, together with the processing\nfees prescribed by such bureau, for the purpose of conducting a criminal\nhistory search and returning a report thereon. An applicant shall not be\nrequired to submit his or her fingerprints as required by this\nsubdivision if such applicant (i) is already subject to regulation by\nthe department and the applicant has submitted such fingerprints to the\ndepartment, such fingerprints have been submitted to the division of\ncriminal justice services for the purpose of conducting a criminal\nhistory search, and a report of such search has been received by the\ndepartment from such division; or (ii) is subject to regulation by a\nfederal bank regulatory agency and has submitted such fingerprints to\nsuch agency which has had a criminal history search conducted of such\nindividual and has shared such information or its determination\nresulting from such search with the department; or (iii) is an officer\nor stockholder of a corporation whose common or preferred stock is\nregistered on a national securities exchange, as provided in an act of\ncongress of the United States entitled the "Securities Exchange Act of\n1934", approved June sixth, nineteen hundred thirty-four, as amended, or\nsuch other exchange or market system as the superintendent shall approve\nby regulation, and has submitted such fingerprints to such exchange or\nmarket system which has had a criminal history search conducted of such\nindividual and has shared such information or its determination\nresulting from such search with the department; provided, however, that\nthe superintendent may subsequently require such applicant to submit his\nor her fingerprints if the superintendent has a reasonable basis for\nupdating the information or determination resulting from the report of\nthe criminal history search conducted at the request of such federal\nbanking agency, exchange or market system.\n (b) The superintendent shall also, concurrent with an investigation of\na licensee or registrant, or an authorized individual, pertaining to a\nviolation of this chapter, submit such fingerprints to the division of\ncriminal justice services for the purpose of conducting a criminal\nhistory search and returning a report thereon and through the division\nto the federal bureau of investigation for the purpose of a fingerprint\ncheck of such licensee, registrant or authorized individual.\n (c) For purposes of this section, "applicant" shall include a natural\nperson or such principal, officer, director, trustee or stockholder of\nany other entity as may be designated by the superintendent.\nNotwithstanding any other provision of this article, the superintendent\nshall not access criminal history data or information, unless any agency\nfrom which the superintendent receives directly criminal history data or\ninformation has entered into a use and dissemination agreement with the\nsuperintendent consistent with the provisions of this section.\n