§ 1403 — Scope of registration review

§ 1403. Scope of registration review. 1. The commission shall\nprescribe the initial form of the application for registration which\nshall require, but not be limited to:\n (a) the full name and principal address of the operator;\n (b) if a corporation, the name of the state in which incorporated and\nthe full names and addresses of any partner, officer, director,\nshareholder holding ten percent or more equity, and ultimate equitable\nowners;\n (c) if a business entity other than a corporation, the full names and\naddresses of the principals, partners, shareholders holding five percent\nor more equity, and ultimate equitable owners;\n (d) whether such corporation or entity files information and reports\nwith the United States Securities and Exchange Commission as required by\nsection thirteen of the Securities Exchange Act of 1934, 15 U.S.C. §§\n78a-78kk; or whether the securities of the corporation or entity are\nregularly traded on an established securities market in the United\nStates;\n (e) the type and estimated number of contests to be conducted\nannually;\n (f) a statement of the assets and liabilities of the operator.\n 2. The commission may require the full names and addresses of the\nofficers and directors of any creditor of the operator, and of those\nstockholders who hold more than ten percent of the stock of the\ncreditor.\n 3. Upon receipt of an application for registration for each individual\nlisted on such application as an officer or director, the commission\nshall submit to the division of criminal justice services a set of\nfingerprints, and the division of criminal justice services processing\nfee imposed pursuant to subdivision eight-a of section eight hundred\nthirty-seven of the executive law and any fee imposed by the federal\nbureau of investigation. Upon receipt of the fingerprints, the division\nof criminal justice services shall promptly forward a set of the\nindividual's fingerprints to the federal bureau of investigation for the\npurpose of a nationwide criminal history record check to determine\nwhether such individual has been convicted of a criminal offense in any\nstate other than New York or in a federal jurisdiction. The division of\ncriminal justice services shall promptly provide the requested criminal\nhistory information to the commission. For the purposes of this section,\nthe term "criminal history information" shall mean a record of all\nconvictions of crimes and any pending criminal charges maintained on an\nindividual by the division of criminal justice services and the federal\nbureau of investigation. All such criminal history information sent to\nthe commission pursuant to this subdivision shall be confidential and\nshall not be published or in any way disclosed to persons other than the\ncommission, unless otherwise authorized by law.\n 4. Upon receipt of criminal history information pursuant to\nsubdivision three of this section, the commission shall make a\ndetermination to approve or deny an application for registration;\nprovided, however, that before making a determination on such\napplication, the commission shall provide the subject of the record with\na copy of such criminal history information and a copy of article\ntwenty-three-A of the correction law and inform such prospective\napplicant seeking to be credentialed of his or her right to seek\ncorrection of any incorrect information contained in such criminal\nhistory information pursuant to the regulations and procedures\nestablished by the division of criminal justice services. The commission\nshall deny any application for registration, or suspend, refuse to\nrenew, or revoke any existing registration issued pursuant to this\narticle, upon the finding that the operator or registrant, or any\npartner, officer, director, or shareholder:\n (a) has knowingly made a false statement of material fact or has\ndeliberately failed to disclose any information required by the\ncommission;\n (b) has had a registration or license to offer or conduct contests\ndenied, suspended, or revoked in any other state or country for just\ncause;\n (c) has legally defaulted in the payment of any obligation or debt due\nto any state or political subdivision; or\n (d) has at any time knowingly failed to comply with any requirement\noutlined in section fourteen hundred four of this article, any other\nprovision of this article, any regulations promulgated by the commission\nor any additional requirements of the commission.\n 5. All determinations to approve or deny an application pursuant to\nthis article shall be performed in a manner consistent with subdivision\nsixteen of section two hundred ninety-six of the executive law and\narticle twenty-three-A of the correction law. When the commission denies\nan application, the operator shall be afforded notice and the right to\nbe heard and offer proof in opposition to such determination in\naccordance with the regulations of the commission.\n