NY-GBS General Business Law NY

Short title. This chapter shall be known as the "General Business

Law."

The Sabbath. The first day of the week being by general consent

set apart for rest and religious uses, the law prohibits the doing on

that day of certain acts hereinafter specified, which are serious

interruptions of the repose and religious liberty of the community.

Sabbath breaking. A violation of the foregoing prohibition is

Sabbath breaking.

Punishment for Sabbath breaking. Sabbath breaking is a

misdemeanor, punishable by a fine of not less than five dollars and not

more than ten dollars, or by imprisonment in a county jail not exceeding

five days, or by both, but for a second or other offense, where the

party shall have been previously convicted, it shall be punishable by a

fine not less than ten dollars and not more than twenty dollars or by

imprisonment in a county jail not less than five nor more than twenty

days, or both.

Labor prohibited on Sunday. All labor on Sunday is prohibited,

excepting the works of necessity and charity. In works of necessity or

charity is included whatever is needful during the day for the good

order, health or comfort of the community.

Persons observing another day as a Sabbath. It is a sufficient

defense to a prosecution for work or labor on the first day of the week

that the defendant uniformly keeps another day of the week as holy time,

and does not labor on that day, and that the labor complained of was

done in such manner as not to interrupt or disturb other persons

observing the first day of the week as holy time.

Public sports and exercises on Sunday. All public sports,

exercises or shows, except professional golf tournaments and games of

the World University Games conducted in Erie, Genesee and Niagara

counties in nineteen hundred ninety-three, upon the first day of the

week, and all noise unreasonably disturbing the peace of the day are

prohibited, except as hereinafter provided.

Notwithstanding the provisions of this section, it shall be lawful to

conduct, witness, participate or engage in any form of public sports,

exercises or shows which are conducted or engaged in primarily for the

entertainment of spectators, not specifically prohibited by any

provision of the law, on the first day of the week after five minutes

past one o'clock in the afternoon, to witness which the public is

invited or an admission fee is charged, either directly or indirectly,

in a city, town or village as shall be permitted by local law or

ordinance heretofore or hereafter adopted by the common council or other

legislative body of the city, town or village permitting such public

sports, exercises or shows on such day and after such hour provided,

however, the failure of a city, town or village in which a municipally

owned stadium, arena or facility is located, to adopt such a local law

or ordinance shall not prohibit such public sports, exercises or shows

beginning after five minutes past one o'clock in the afternoon on the

first day of the week in any such stadium, arena or facility.

Nothing herein contained shall be deemed to prohibit private sports,

games or recreational activities which are engaged in primarily for the

personal enjoyment, recreation and health of the participants, on the

first day of the week, conducted in a manner which does not constitute a

serious interruption of the repose or religious liberty of the

community.

Notwithstanding any other provision of this section, it shall be

lawful for pari-mutuel facilities licensed in accordance with article

two of the racing, pari-mutuel wagering and breeding law to conduct or

engage in activities authorized under their licensure on the first day

of the week after twelve o'clock post meridian.

Trades, manufactures, and mechanical employments prohibited on

Sunday. All trades, manufacturers, agricultural or mechanical

employments upon the first day of the week are prohibited, except that

when the same are works of necessity they may be performed on that day

in their usual and orderly manner, so as not to interfere with the

repose and religious liberty of the community.

Public traffic on Sunday. All manner of public selling or

offering for sale of any property upon Sunday is prohibited, except as

follows: 1. Articles of food may be sold, served, supplied and delivered

at any time before ten o'clock in the morning:

2. Meals may be sold to be eaten on the premises where sold at any

time of the day;

3. Caterers may serve meals to their patrons at any time of the day;

4. Prepared tobacco, bread, milk, eggs, ice, soda-water, fruit,

flowers, confectionery, souvenirs, items of art and antiques,

newspapers, magazines, gasoline, oil, tires, cemetery monuments, drugs,

medicine and surgical instruments may be sold and delivered at any time

of the day.

5. Grocers, delicatessen dealers and bakeries may sell, supply, serve

and deliver cooked and prepared foods, between the hours of four o'clock

in the afternoon and half-past seven o'clock in the evening, in addition

to the time provided for in subdivision one hereof, and, elsewhere than

in cities and villages having a population of forty thousand or more,

delicatessen dealers, bakeries and farmers' markets or roadside stands

selling fresh vegetables and other farm produce, and fishing tackle and

bait stores may sell, supply, serve and deliver merchandise usually sold

by them, at any time of the day.

6. Persons, firms or corporations holding licenses and/or permits

issued under the provisions of the alcoholic beverage control law

permitting the sale of beer at retail, may sell such beverages at retail

on Sunday before three antemeridian and after twelve noon for

off-premises consumption to persons making purchases at the licensed

premises to be taken by them from the licensed premises.

7. Sale at public auction of thoroughbred, standardbred and quarter

horse racehorses.

The provisions of this section, however, shall not be construed to

allow or permit the public sale or exposing for sale or delivery of

uncooked flesh foods or meats, fresh or salt, at any hour or time of the

day. Delicatessen dealers shall not be considered as caterers within

subdivision three hereof.

Prosecutions for conducting business on Sunday by certain

persons.

Notwithstanding any other provision of law, it shall be a sufficient

defense to a prosecution pursuant to this article, for conducting any

trade or business or public selling or offering for sale of any property

on Sunday, that the defendant

(1) as the proprietor of such business, uniformly keeps another day of

the week as holy time and keeps his place of business closed on the

seventh day of the week,

(2) does not himself labor, employ others to labor in, by or with

another conduct a trade or publicly sell or offer for sale any property

on the day he keeps as holy time,

(3) conducts such labor, trade or business in its normal course on

Sunday by himself and members of his immediate family, and

(4) so conducts such trade, public selling or offer to sell any

property on Sunday in such manner as not to disturb the religious

observances of the community.

The term "day of the week" as used in this section shall mean and

include the period of time of not less than twenty-four consecutive

hours commencing at or before sundown on one day and terminating at or

after sundown on the following day.

Serving civil process on Sunday. All service or execution of

legal process, of any kind whatever, on the first day of the week is

prohibited, except in criminal proceedings or where service or execution

is specially authorized by statute. Service or execution of any process

upon said day except as herein permitted is absolutely void for any and

every purpose whatsoever.

Forfeiture of commodities exposed for sale on Sunday. In

addition to the penalty imposed by section four, all property and

commodities exposed for sale on the first day of the week in violation

of the provisions of this article shall be forfeited. Upon conviction of

the offender by a justice of the peace of a county, or by any police

justice or magistrate, such officer shall issue a warrant for the

seizure of the forfeited articles, which, when seized, shall be sold on

one day's notice, and the proceeds paid to the overseers of the poor,

for the use of the poor of the town or city.

Maliciously serving process on Saturday on person who keeps

Saturday as holy time. Whoever maliciously procures any process in a

civil action to be served on Saturday, upon any person who keeps

Saturday as holy time, and does not labor on that day, or serves upon

him any process returnable on that day, or maliciously procures any

civil action to which such person is a party to be adjourned to that day

for trial, is guilty of a misdemeanor.

Processions and parades on Sunday. 1. All processions and

parades on Sunday in any city, excepting only funeral processions for

the actual burial of the dead, and processions to and from a place of

worship in connection with a religious service there celebrated, are

forbidden; and in such excepted cases there shall be no music,

fireworks, discharge of cannon or firearms, or other disturbing noise.

At a military funeral, or at the funeral of a United States soldier,

sailor or marine, or of a national guardsman, or of a deceased member of

an association of veteran soldiers, sailors or marines, or of a

disbanded militia regiment, or of a secret fraternal society, or of an

association of employees of the national, state, or municipal

governments, music may be played while escorting the body; also in

patriotic military processions on Sunday previous to Decoration day,

known as memorial Sunday, to cemeteries or other places where memorial

services are held, and also by organizations of the national guard or

naval militia or of an association of employees of the national, state,

or municipal governments, attending religious service on Sunday; but in

no case within one block of a place of worship where service is then

being celebrated. Music may also be played in any procession conducted

by a religious organization or society in connection with a religious

service or religious rally after one o'clock noon on Sunday.

2. Notwithstanding the provisions of this section, it shall be lawful

to conduct, witness, participate or engage in processions or parades and

to play music in any such procession or parade on Sunday after two

o'clock in the afternoon, in a city, town or village, as shall be

permitted by a local law or ordinance heretofore or hereafter adopted by

the common council or other legislative body of a city, town or village

permitting such processions and parades on such day and after such hour.

3. This section shall not apply to a city with a population of one

million or more; provided, however, that if a parade or procession is

held in such city on Sunday before two o'clock in the afternoon there

shall be no music, fireworks, discharge of cannon or firearms, or other

disturbing noise in relation thereto within one hundred and fifty feet

of a place of worship.

4. A person wilfully violating any provision of this section is

punishable by a fine not exceeding twenty dollars or imprisonment not

exceeding ten days, or by both.

Days of rest and recreation. a. One day a week may be set aside

for rest and recreation.

b. A day of rest and recreation may be determined by the owners of a

business or commercial enterprise, which shall include a sole

proprietorship, partnership or corporation.

c. A retail merchants association or organization shall not have the

right to determine a day of rest and recreation for any of its members.

d. Any person, corporation or association who knowingly attempts to

force or coerce an owner or manager of a business to make a

determination in violation of this section shall be fined not less than

two hundred fifty dollars and not more than five hundred dollars and for

a second or other offense, where the party shall have been previously

convicted thereof, it shall be punishable by a fine of not less than one

thousand dollars and not more than two thousand dollars.

e. No provision of this section shall be construed to prohibit any

owner from doing business seven days a week, where any other general,

special or local law, rule or regulation does not specifically prohibit

such activity.

Commissions; penalty. An auctioneer in any county, other than

New York or Kings, shall not, without a previous agreement in writing,

with the owner or consignee of the goods sold, demand or receive a

greater compensation for his services than a commission of two and

one-half per centum on the amount of any sale, public or private, made

by him. For a violation of this section he shall refund the moneys

illegally received and forfeit two hundred and fifty dollars to each

person from whom he demands or receives an unlawful compensation or

commission.

Power of common council of cities. Except as otherwise provided

in the charter of the city, the common council of a city may designate

such place within such city for the sale by auction of horses, carriages

and household furniture, as it deems expedient.

Automobile auctioneer. 1. Definitions. The term "automobile

auctioneer" as used in this section means any person, not claiming title

in himself, who sells or offers for retail sale more than five motor

vehicles, motorcycles or trailers in any calendar year, or who displays

or permits the display of three or more motor vehicles, motorcycles or

trailers for retail sale in any one calendar month upon premises owned

or controlled by him.

2. Title. An automobile auctioneer shall not sell a motor vehicle

unless he has in his possession the currently valid certificate of title

to that motor vehicle, or, if a certificate of title is not required,

then he shall have in his possession the appropriate proof of ownership

for such motor vehicle. Title or proof of ownership shall be delivered

to the purchaser immediately upon acceptance of tender of payment.

2-a. Sale of vehicles. a. An automobile auctioneer shall not sell or

offer for sale a motor vehicle unless such auctioneer is a dealer

registered pursuant to article sixteen of the vehicle and traffic law.

b. Except as otherwise permitted by law, an automobile auctioneer

shall not sell or offer for sale a motor vehicle on a sale basis of "as

is" or "with all faults", or by using words of similar import at or

prior to the time of sale.

3. Disclosure. a. No motor vehicle shall be sold by an automobile

auctioneer unless he has disclosed the identity of the seller who is

actually transferring title or proof of ownership. Such disclosure of

the seller's identity shall be made by the auctioneer (i) in a written

disclosure made in not less than ten-point bold face type and appearing

on the front of the sales contract, receipt, invoice, or other document

used in connection with the sale of the vehicle that shall set forth the

seller's true legal name, complete street address and dealer facility

identification number and that shall be captioned "Identity of Vehicle's

Seller"; and (ii) by affixing a conspicuous sign to the windshield of

each vehicle offered for sale, sold or made available for inspection

prior to auction that shall disclose the seller's true legal name,

complete street address and dealer facility identification number.

b. No used motor vehicle subject to the provisions of section one

hundred ninety-eight-b of this chapter shall be sold or offered for sale

by an automobile auctioneer unless such auctioneer discloses the Used

Car Lemon Law Bill of Rights. Such disclosure shall be made in writing,

in not less than ten-point bold face type and appearing on the front of

the sales contract, receipt, invoice, or other document used in

connection with the sale of the vehicle, and shall be captioned "Used

Car Lemon Law Bill of Rights".

c. No motor vehicle subject to the provisions of section one hundred

ninety-eight-a of this chapter shall be sold or offered for sale by an

automobile auctioneer unless such auctioneer discloses the New Car Lemon

Law Bill of Rights. Such disclosure shall be made in writing, in not

less than ten-point bold face type and appearing on the front of the

sales contract, receipt, invoice, or other document used in connection

with the sale of the vehicle, and shall be captioned "New Car Lemon Law

Bill of Rights".

d. No used motor vehicle shall be sold or offered for sale by an

automobile auctioneer unless such auctioneer provides the following

notice, in writing, in not less than ten-point bold face type and

appearing on the front of the sales contract, receipt, invoice or other

document used in connection with the sale of the vehicle:

CERTIFICATION NOTICE FOR USED CAR BUYERS

1. NEW YORK STATE LAW REQUIRES A USED CAR DEALER TO

CERTIFY IN WRITING TO THE BUYER THAT THE VEHICLE, AT THE

TIME OF DELIVERY, IS IN CONDITION AND REPAIR TO RENDER,

UNDER NORMAL USE, SATISFACTORY AND ADEQUATE SERVICE

(VEHICLE AND TRAFFIC LAW SECTION 417-a).

2. IF THE DEALER REFUSES TO HONOR ITS LEGAL DUTY,

COMPLAIN TO THE N.Y.S. DEPARTMENT OF MOTOR VEHICLES,

DIVISION OF VEHICLE SAFETY SERVICES, EMPIRE STATE PLAZA,

ALBANY, N.Y. 12228.

e. No used motor vehicle shall be sold or offered for sale by an

automobile auctioneer, unless such auctioneer posts a conspicuous sign

at each entrance to the auction used by the public, and in a place so

situated as to be clearly visible to bidders at the auction. Such sign

shall read as follows:

CERTIFICATION NOTICE FOR USED CAR BUYERS

1. NEW YORK STATE LAW REQUIRES A USED CAR DEALER TO

CERTIFY IN WRITING TO THE BUYER THAT THE VEHICLE, AT THE

TIME OF DELIVERY, IS IN CONDITION AND REPAIR TO RENDER,

UNDER NORMAL USE, SATISFACTORY AND ADEQUATE SERVICE.

2. IF THE DEALER REFUSES TO HONOR ITS LEGAL DUTY,

COMPLAIN TO THE N.Y.S. DEPARTMENT OF MOTOR VEHICLES,

DIVISION OF VEHICLE SAFETY SERVICES, EMPIRE STATE PLAZA,

ALBANY, N.Y. 12228.

4. Warranties. a. Notwithstanding any provision of law to the

contrary, in any contract of sale by an automobile auctioneer, there

shall be a warranty that:

(1) the title or proof of ownership conveyed shall be good, and its

transfer rightful; and

(2) the goods shall be delivered free from any security interest or

other lien or encumbrance of which the buyer at the time of contracting

has no knowledge.

b. Any waiver of the warranty provided for in paragraph a of this

subdivision by a buyer shall be deemed contrary to public policy and

shall be void and unenforceable. Any attempt by an automobile auctioneer

to exclude or modify such warranties shall constitute a violation of

this section.

5. Documentation of transactions. In addition to the records required

to be kept by auctioneers pursuant to section twenty-five of this

article, every sale by an automobile auctioneer shall be accompanied by

an itemized receipt which shall contain the following information:

a. legal name, and trade name if different, of the automobile

auctioneer;

b. address and telephone number of the automobile auctioneer;

c. name of the buyer;

d. make, year of manufacture, and identification number of said motor

vehicle;

e. the amount of money paid; and

f. the date of delivery.

6. Certificate of prior use. a. Upon the sale or transfer of any

passenger motor vehicle to an automobile auctioneer any transferer shall

execute and deliver to the auctioneer an instrument in writing which

shall set forth in nature of the principal prior use of such vehicle

when the automobile transferer knows or has reason to know that such use

was as a taxicab, rental vehicle, police vehicle, or driver education

vehicle, or vehicle which has been repurchased pursuant to either

section one hundred ninety-eight-a or one hundred ninety-eight-b of this

chapter, a similar statute of another state, or an arbitration or

alternative dispute procedure.

b. Upon the sale of any second-hand passenger motor vehicle, the

automobile auctioneer shall execute and deliver to the buyer an

instrument in writing which shall set forth the nature of the principal

prior use of such vehicle when the automobile auctioneer knows or has

reason to know that such use was as a taxicab, rental vehicle, police

vehicle, or driver education vehicle, or vehicle which has been

repurchased pursuant to either section one hundred ninety-eight-a or one

hundred ninety-eight-b of this chapter, a similar statute of another

state, or an arbitration or alternative dispute procedure.

7. Fraudulent representation. No automobile auctioneer, sales person

employed by such auctioneer, or agent or representative thereof selling

or offering for sale any motor vehicle, motorcycle, or trailer shall

make or use any untrue or misleading representations nor engage,

directly or indirectly, in any act or practice or course of business

which operates or would operate as a fraud or deception upon any person.

8. Exceptions. The provisions of this section shall not apply to an

auction or auctions at which only vehicles which are being sold pursuant

to repossession, or foreclosure of a lien, or by or on behalf of an

executor or administrator to settle an estate, or pursuant to a court

order, or an auction conducted by the federal government, or the state,

its agencies, bureaus, boards, commissions and authorities, or any

political subdivision of the state, or the agencies and authorities of

any such subdivision, or an auction at which only vehicles which are

being sold are owned by a regulated public utility or other business

which maintains a fleet of twenty-five or more vehicles used in the

ordinary course of business and not purchased for the purpose of resale,

or at an auction conducted upon a farm in which the only vehicles being

sold, excluding farm equipment, are vehicles formerly utilized for day

to day farm business or personal use and such vehicles are not being

sold for the purpose of resale, or at an auction at which bids are

accepted only from registered motor vehicle dealers, registered vehicle

dismantlers or certified scrap processors. Vehicles sold at such an

auction shall not be included in determining the number of vehicles sold

at auction for the purpose of determining whether a person is an

auctioneer.

9. Action by the attorney general. a. Upon any violation of this

section, an application may be made by the attorney general in the name

of the people of the state of New York to a court or justice having

jurisdiction to issue an injunction, and upon notice to the defendant of

not less than five days, to enjoin and restrain the continuance of the

violation. If it shall appear to the satisfaction of the court or

justice that the defendant has violated this section, an injunction may

be issued by the court or justice, enjoining and restraining any further

violation, without requiring proof that any person has, in fact, been

injured or damaged thereby. In any such proceeding, the court may make

allowances to the attorney general as provided in paragraph six of

subdivision (a) of section eighty-three hundred three of the civil

practice law and rules, and direct restitution.

b. Whenever the court shall determine that a violation of this section

has occurred, it may impose a civil penalty of not more than one

thousand dollars for each violation. In connection with an application

made under this subdivision, the attorney general is authorized to take

proof and to make a determination of the relevant facts and to issue

subpoenas in accordance with the civil practice law and rules.

10. Additional remedies. In addition to the right of action granted to

the attorney general pursuant to subdivision nine of this section, any

buyer injured by a violation of this section may bring an action in his

own name to enjoin such unlawful practice, an action to recover his

actual damages or five hundred dollars, whichever is greater, or both

such actions. The court in its discretion may increase the award of

damages to an amount not to exceed three times the actual damages. The

court may award costs and reasonable attorney's fees to a prevailing

plaintiff.

11. Burden of proof. In any proceeding involving this section, the

burden of proving an exception or inapplicability for the definition of

automobile auctioneer is upon the person claiming it.

12. Severability clause. If any provision of this section or if any

application thereof to any person or circumstance is held invalid, the

remainder of the section and the application of the provision to other

persons and circumstances shall not be affected thereby.

Mock auction. A person who buys or sells, or pretends to buy or

sell, any goods, wares, or merchandise, or any species of property

except ships, vessels, or real or leasehold estate, exposed for sale by

auction, if an actual sale, purchase, and change of ownership therein

does not thereupon take place, is guilty of a misdemeanor, punishable by

imprisonment for thirty days, or by fine not exceeding one hundred

dollars or both.

A person who obtains money or property from another, or obtains the

signature of another to any writing, the false making of which would be

forgery, by means of any false or fraudulent sale of property or

pretended property by auction, or by any of the practices known as mock

auctions, is guilty of a misdemeanor; and in addition thereto he

forfeits any license he may hold to act as an auctioneer, and is forever

disqualified from receiving a license to act as an auctioneer in this

state.

Records to be kept by auctioneers. Every auctioneer or person

engaged in the business of selling goods at auction, whether acting in

his own behalf or as the officer, agent or representative of another,

shall, upon the receipt or acceptance by him of any goods for the

purpose of sale at auction, and before offering the same or any part

thereof for sale at auction, write or cause to be written in a book to

be kept by him for the purpose, the name and address of the person who

employed him to sell such goods at auction, the name and address of the

person for whose benefit, behalf or account such goods are to be sold at

auction; the name and address of the person from whom such auctioneer

received or accepted such goods; the name and address of the person who

was the owner, the authorized agent of the owner or the consignor of

such goods immediately prior to the receipt or acceptance for the

purpose of sale at auction of the same by such auctioneer; the location,

with street and number, if any, of such goods immediately prior to the

receipt or acceptance of the same by such auctioneer for the purpose of

sale at auction; the date of the receipt or acceptance by such

auctioneer of such goods for the purpose of sale at auction; the place,

with street and number, if any, in which such goods are to be held, kept

or stored until sold or offered for sale at auction; the place, with

street and number, if any, in which such goods are to be sold or offered

for sale at auction; a description of such goods, the quantity thereof

and the distinctive marks thereon, if any; the terms and conditions upon

which such auctioneer receives or accepts such goods for sale at

auction. The expression "goods" as used in this section signifies any

goods, wares, works of art, commodity, compound or thing, chattels,

merchandise or personal property which may be lawfully kept or offered

for sale, but shall not include goods damaged at sea or by fire and sold

or to be sold for the benefit of the owners, insurers or for the account

of whom it may concern or goods sold by virtue of judicial decree. The

word "person" as used in this section includes a corporation,

joint-stock association or copartnership. Nothing herein shall apply to

the sale of real property at auction. The foregoing records shall be in

addition to any other records required to be kept pursuant to the

uniform commercial code.

Record open to inspection. The said book and the entries

therein, made as provided by the preceding section, shall, at all

reasonable times, be open to the inspection of the mayor and the head of

the police department of the city in which the auctioneer conducts his

business, the district attorney of any county in which said city is

located or which is a part of such city, and any person who shall be

duly authorized in writing for that purpose by any or either of them and

who shall exhibit such written authorization to such auctioneer.

Penalties. Any person who violates or does not comply with the

provisions of section twenty-five hereof, or any auctioneer or person

engaged in the business of selling goods at auction who shall fail,

neglect or refuse to permit or allow an inspection as required by

section twenty-six hereof of the book, which he is required to keep

according to the provisions of section twenty-five hereof, shall be

guilty of a misdemeanor.

Limitation. Sections twenty-five, twenty-six and twenty-seven

hereof shall apply only to cities of the first class and do not repeal

or supersede the provisions of chapter thirty-two, title B, article

twenty-one of the administrative code of the city of New York.

Licenses to veterans of the armed forces of the United States.

1. Every member of the armed forces of the United States who (a) was

honorably discharged from such service, or (b) has a qualifying

condition, as defined in section one of the veterans' services law, and

has received a discharge other than bad conduct or dishonorable from

such service, or (c) is a discharged LGBT veteran, as defined in section

one of the veterans' services law, and has received a discharge other

than bad conduct or dishonorable from such service, and who is a

resident of this state and a veteran of any war, or who shall have

served in the armed forces of the United States overseas, and the

surviving spouse of any such veteran, if a resident of the state, shall

have the right to hawk, peddle, vend and sell goods, wares or

merchandise or solicit trade upon the streets and highways within the

county of his or her residence, as the case may be, or if such county is

embraced wholly by a city, within such city, by procuring a license for

that purpose to be issued as herein provided. No part of the lands or

premises under the jurisdiction of the division of the state fair in the

department of agriculture and markets, shall be deemed a street or

highway within the meaning of this section.

2. Any such former member of the armed forces of the United States may

present to the clerk of any county in which he has resided for a period

of at least six months, his original certificate of release or discharge

from active duty, or a copy thereof duly certified by the recording

officer or a certificate in lieu of lost discharge issued by a

department of the armed forces of the United States which shall show

that the person presenting it is a veteran of any war, or that he has

served overseas in the armed forces of the United States. He shall also

fill out a blank which shall when filled out state his name, residence

at the time of application, nature of goods to be sold, and if the

applicant is working on commission or percentage for any person, firm or

corporation, the name and business address of such person, firm or

corporation. This statement shall be signed by the applicant in the

presence of the county clerk, or a deputy designated by him, and the

name on this application and on the original certificate of release or

discharge from active duty shall be compared by the county clerk to

ascertain if the person so applying is the same person named in the

original certificate of release or discharge from active duty. Such

county clerk when so satisfied shall issue, without cost, to such former

member of the armed forces of the United States, a license certifying

him to be entitled to the benefits of this section.

3. A copy of this statement shall be attached to the license granted

by the county clerk and shall remain attached thereto. On presentation

to such clerk of the affidavit of such surviving spouse and two other

residents of the county, that he or she is such surviving spouse,

accompanied by such original certificate of release or discharge from

active duty of his or her deceased spouse, and the filing of the

statement hereinabove required, such county clerk shall issue, without

cost to the surviving spouse, a license certifying the surviving spouse

to be entitled to the benefits of this section.

4. The license provided for by this section shall be used and valid

only for use in the county in which it was issued, except that if issued

in a county embraced wholly by a city, it may be used within such city.

5. The application for the license herein provided shall be

accompanied by a photograph of the applicant taken within thirty days

prior to such application and upon the issuance of such license shall be

attached thereto.

6. A license issued without cost, under the provisions of this

section, shall be personal to the licensee and any assignment or

transfer thereof shall be absolutely void. Upon satisfactory proof by

affidavit of the loss or destruction of any license issued as herein

provided, the county clerk shall issue a duplicate license for the one

so lost or destroyed and in which event the word "duplicate" shall be

legibly written in ink across the face thereof.

7. A person assigning or transferring, or attempting to assign or

transfer any such license or using or attempting to use such license

contrary to the provisions of this section shall be guilty of a

misdemeanor.

8. Any provisions of this section to the contrary notwithstanding, any

city, village or town may, by local law or ordinance, require a person

holding a license issued pursuant to the provisions of this section by

the clerk of the county in which such city, village or town is located,

to file a further application with such official of the city, village or

town as is designated in such local law or ordinance, for the issuance

of a local license and may prescribe the terms and conditions under

which such local license may be issued and may prohibit the right to

hawk, peddle, vend and sell goods, wares or merchandise or solicit trade

upon the streets and highways within any such city, village or town

under the provisions of this section unless such local license has been

issued.

Penalties. Every person found traveling and trading within this

state contrary to the provisions of this article, or contrary to the

terms of any license that may have been granted to him under this

article, shall, for each offense, forfeit to the town in which the

offense shall be committed the sum of twenty-five dollars, to be applied

to the support of the poor of the town. Every person traveling or

trading within this state, having a license, who refuses to produce a

license as a peddler to any officer or citizen who demands the

production of the same shall, for each offense, forfeit to the town in

which the demand is made the sum of ten dollars, to be applied to the

support of the poor thereof. The refusal of any such person to produce a

license when demanded shall be presumptive evidence that he is traveling

and trading without a license.

No action for the recovery of any penalty imposed by this article

shall be maintained unless it be brought within sixty days after the

commission of the offense charged.

Arrest and conviction of offender. The public welfare officials

shall see that the provisions of this article are enforced in their

respective towns. Any citizen may arrest any person trading as a peddler

who neglects or refuses to produce his license on demand, and shall

immediately convey such person before some justice of the peace of the

county. If the fact that the person so arrested has traded without a

license be proved to the satisfaction of the justice, he shall convict

such person of an offense against this article and on such conviction

shall issue his warrant to some constable of the county, commanding such

constable to levy and collect from the personal property of the offender

the sum of twenty-five dollars, with the costs of the proceeding, not

exceeding five dollars. The penalty collected on such warrant shall be

paid by the justice to the public welfare official of the town where the

offense was committed.

If it appears in said proceeding that the person arrested refused to

produce his license or to disclose his name when lawfully required, no

costs shall be allowed such defendant, nor shall he maintain an action

for false imprisonment.

Municipal regulations. This article shall not affect the

application of any ordinance, by-law or regulation of a municipal

corporation relating to hawkers and peddlers within the limits of such

corporations, but the provisions of this article are to be complied with

in addition to the requirements of any such ordinance, by-law or

regulation; provided, however, that no such by-law, ordinance or

regulation shall prevent or in any manner interfere with the hawking or

peddling, without the use of any but a hand driven vehicle, in any

street, avenue, alley, lane or park of a municipal corporation, by any

honorably discharged member of the armed forces of the United States who

(1) was honorably discharged from such service, or (2) has a qualifying

condition, as defined in section one of the veterans' services law, and

has received a discharge other than bad conduct or dishonorable from

such service, or (3) is a discharged LGBT veteran, as defined in section

one of the veterans' services law, and has received a discharge other

than bad conduct or dishonorable from such service, and who is

physically disabled as a result of injuries received while in the

service of said armed forces and the holder of a license granted

pursuant to section thirty-two of this article.

Veterans of the armed forces who vend in cities having a

population of one million or more. Subject to the provisions of this

section but notwithstanding any inconsistent provisions of any general,

special or local law:

1. (a) In cities having a population of one million or more, the

official designated by a local law or ordinance to issue a local license

to hawk, peddle, vend and sell goods, wares or merchandise or solicit

trade upon the streets and highways within such city shall issue

specialized vending licenses to members of the armed forces of the

United States who (i) were honorably discharged from such service, or

(ii) have a qualifying condition, as defined in section one of the

veterans' services law, and received a discharge other than bad conduct

or dishonorable from such service, or (iii) are a discharged LGBT

veteran, as defined in section one of the veterans' services law, and

received a discharge other than bad conduct or dishonorable from such

service, and who are physically disabled as a result of injuries

received while in the service of said armed forces and who are eligible

to hold licenses granted pursuant to section thirty-two of this article.

Such specialized vending licenses shall authorize holders thereof to

hawk or peddle within such city in accordance with the provisions

contained in this section. Specialized vending licenses issued under

this section shall permit the holders thereof to vend on any block face,

and no licensee authorized under this section shall be restricted in any

way from vending in any area, except as provided in this section.

(b) The official in such city responsible for issuing specialized

vending licenses shall set forth by rule procedures for issuing

specialized vending licenses pursuant to this section; such rules shall

establish a priority system, based upon the date of application for

specialized vending licenses issued pursuant to this section, provided,

however, that any disabled veteran vendor holding a specialized vending

license issued in such city prior to March first, two thousand three,

shall be accorded a priority based upon the date of issuance of such

specialized vending license.

2. In areas where general vending is authorized, outside of the area

specified in subdivision seven of this section, all specialized vending

license holders, including those vendors authorized to vend in the area

specified in subdivision seven of this section, shall be subject to

those restrictions on the placement of vehicles, pushcarts and stands

contained in any local law, ordinance, by-law, rule or regulation of a

city having a population of one million or more, to the extent that such

restrictions are not inconsistent with the provisions contained in

subdivisions four, five, six and eight of this section.

3. Specialized vending licenses issued pursuant to this section shall

authorize the holders thereof to vend on block faces, outside the area

specified in subdivision seven of this section, on the days and at the

times when other vending businesses have been prohibited on such block

faces pursuant to any local law, ordinance, by-law, rule or regulation.

Not more than two such specialized vending licensees shall be authorized

pursuant to this subdivision per restricted block face, provided that no

restriction shall apply to such licensees when vending on such block

faces except as provided in paragraphs (e), (g), (h), (i), (j), (k) and

(l) of subdivision seven of this section; and provided further no

specialized vending licensee shall vend on any sidewalk unless such

sidewalk has at least a ten-foot wide clear pedestrian path to be

measured from the boundary of any private property to any obstructions

in or on the sidewalk, or if there are no obstructions, to the curb.

Where three or more specialized vending license holders attempt to vend

simultaneously on the same block face, the two specialized vending

license holders with the higher priority, as established pursuant to

paragraph (b) of subdivision one of this section, shall have the

exclusive right to vend on such block face, and any other specialized

vending license holder vending on such block face shall be deemed to be

vending without first having obtained a license.

4. Where exigent circumstances exist, a police officer of the city may

order a specialized vending license holder to temporarily move from a

location; for purposes of this subdivision, "exigent circumstances"

shall mean an immediate threat to public safety caused by unusual and

severe pedestrian congestion due to an impediment other than the

specialized vending license holder, or by an accident, fire, parade,

demonstration or other emergency situation. Nothing herein shall be

construed to limit such city's authority to place restrictions on

vending in order to protect national security.

5. Specialized vending licenses to vend shall be accompanied by a

photographic color coded identification which shall include the priority

number established pursuant to paragraph (b) of subdivision one of this

section, and shall be displayed by such specialized vending license

holder.

6. Specialized vending licenses to vend shall not be loaned, leased,

subcontracted or otherwise transferred except:

(a) Upon the death of the disabled veteran who held the license, the

license shall be transferred by operation of law to the surviving spouse

or, if there is no surviving spouse or the surviving spouse elects not

to use the license, to the guardian of a minor child or children who may

use the license for the support of the minor child or children. The

license shall revert to the licensing agency for reassignment upon the

death of the surviving spouse, if the surviving spouse remarries, when

the youngest minor child reaches age eighteen, or when either the

surviving spouse or guardian of the minor child or children elects not

to use the license to vend in the city of New York or abandons the use

of the license. Temporary periods when the spouse or guardian do not

vend shall not cause the license to revert to the licensing agency in

the absence of other evidence of an intent to abandon the use of the

license; a period of six months or more in which the holder of the

license does not vend shall create a rebuttable presumption that the

spouse or guardian has abandoned the use of the license; and

(b) If the veteran who holds the license becomes totally and

permanently disabled, the holder of the license may transfer it to the

holder's spouse or, if the veteran has no spouse, to an adult child if

the child assumes the duty to support the veteran. The license shall

revert to the licensing agency when: (1) the veteran who held the

license immediately before the transfer dies; (2) the spouse dies or

divorces the veteran who held the license immediately before the

transfer; or (3) the child to whom the license is transferred dies or

renounces the obligation to support the veteran who held the license

immediately before the transfer.

7. In the borough of Manhattan in the city of New York in the area

bounded on the east by Second avenue, on the south by Thirtieth street,

on the west by Ninth avenue and Columbus avenue and on the north by

Sixty-fifth street, the following additional provisions shall apply to

the issuance of specialized vending licenses to disabled veteran vendors

pursuant to this section:

(a) such specialized vending license holders shall be prohibited from

vending on Second avenue, Third avenue, Lexington avenue, Park avenue,

Vanderbilt avenue, Madison avenue, Fifth avenue, Sixth avenue, Seventh

avenue, Broadway, Eighth avenue, Amsterdam avenue, Ninth avenue,

Columbus avenue, Thirty-fourth street between Lexington avenue and

Seventh avenue, Forty-second street between Lexington avenue and Eighth

avenue, Forty-ninth street between Lexington avenue and Seventh avenue,

Fiftieth street between Lexington Avenue and Seventh avenue and

Fifty-seventh street between Lexington Avenue and Seventh avenue;

(b) there shall be a limit of one authorized specialized vending

license holder per block face;

(c) there shall be a limit of one hundred five specialized vending

license holders authorized to vend within the area at any one time to be

allocated as follows: sixty upon the effective date of the chapter of

the laws of two thousand four which amended this paragraph, an

additional fifteen commencing three months from the effective date of

the chapter of the laws of two thousand four which amended this

paragraph, and an additional ten in each of the succeeding three years

commencing on January thirty-first, two thousand five;

(d) the rule set forth pursuant to paragraph (b) of subdivision one of

this section shall establish, pursuant to the priority system,

procedures for issuing specialized vending licenses pursuant to

paragraph (c) of this subdivision; any dispute regarding the

implementation of such procedure shall be subject to a prompt hearing

before an administrative law judge with the New York state department of

labor, provided that if such judge determines that a specialized vending

license holder willfully violated such procedure, such specialized

vending license holder shall be subject to a thirty day suspension of

the specialized vending license to peddle in the area described in this

subdivision; if any specialized vending license holder who has been

determined to have willfully violated such procedure is determined, in a

subsequent proceeding, to have willfully violated such procedure at any

time following the initial violation, such specialized vending license

holder shall be subject to a one-year suspension of the specialized

vending license to peddle in the area described in this subdivision; if

such specialized vending license holder is determined for a third time

to have willfully violated such procedure, such specialized vending

license holder shall be subject to permanent revocation of the

specialized vending license to peddle in the area described in this

subdivision;

(e) specialized vending licensees under this section shall:

(i) permit regular inspections by the official in such city

responsible for issuing specialized vending licenses or any authorized

city agency of any goods, vehicle, pushcart, or stand used in the

operation of the vending business, or any premises used by him or her

for the storage or preparation of goods intended to be vended in such

business; and

(ii) provide the official in such city responsible for issuing

specialized vending licenses or other authorized officer of the city on

a semi-annual basis, or more often if required by local law, by-law or

regulation in such city, the address and name of the owners or the

manufacturers, suppliers or distributors from whom the specialized

vending licensee receives his or her goods and also the address at which

the specialized vending licensee stores his or her goods or any vehicle,

pushcart or stand used in the operation of the vending business;

(f) no specialized vending licensee shall vend on any sidewalk unless

such sidewalk is at least ten feet in width;

(g) no vending vehicle, pushcart, stand, goods, or any other item

related to the operation of a vending business shall touch, lean against

or be affixed permanently or temporarily to any building or structure

including, but not limited to, lamp posts, parking meters, mail boxes,

traffic signal stanchions, fire hydrants, tree boxes, benches, bus

shelters, refuse baskets or traffic barriers;

(h) no vending pushcart, stand or goods shall be located against

display windows of fixed location businesses, nor shall they be within

twenty feet from an entranceway to any commercial building or store,

measured as a radius extending from the center of the doorway, except

where such doorways are within forty feet from each other, and in such

case a vending pushcart, stand or goods shall be an equal distance from

the center of the doorway of each such commercial business or store at

the furthest possible distance on the sidewalk from the building line,

and no vending pushcart, stand or goods shall be within sixty-five feet

of the entranceway to any theater, movie house, indoor sports arena, or

place of worship or school, measured as a radius extending from the

center of such entranceway;

(i) no specialized vending licensee shall occupy more than eight

linear feet of public space parallel to the curb in the operation of a

vending business and, in addition, no specialized vending licensee

operating any vending business on any sidewalk shall occupy more than

three linear feet to be measured from the curb toward the property line;

(j) each specialized vending licensee who vends from a pushcart or

stand in the roadway shall obey all traffic and parking laws, rules and

regulations as now exist or as may be promulgated, but in no case shall

a specialized vending licensee restrict the continued maintenance of a

clear passageway for vehicles;

(k) no specialized vending licensee shall vend using the surface of

the sidewalk, or a blanket or board placed immediately on the sidewalk

or on top of a trash receptacle or cardboard boxes to display

merchandise. No specialized vending licensee display may exceed five

feet in height from ground level. The display may not be less than

twenty-four inches above the sidewalk where the display surface is

parallel to the sidewalk, and may not be less than twelve inches above

the sidewalk where the display surface is vertical. Where a rack or

other display structure is placed on top of or above a table or other

base, the size of the base shall not be less than the size of the

display structure placed thereon. Nothing shall be placed on the base so

as to exceed the size limitations contained in this paragraph. No

specialized vending licensee shall use any area other than that area

immediately beneath the surface of the display space of the storage of

items for sale; and

(l) no specialized vending licensee shall:

(i) vend within any bus stop or taxi stand or within ten feet of any

driveway, any subway entrance or exit or any corner; provided, however,

for the purpose of this subparagraph, ten feet from any corner shall be

measured from a point where the property line on the nearest

intersecting block face, when extended, meets the curb, except when

noncompliance with the ten foot limitation of this paragraph is due to

the placement of an obstruction. In such case the specialized vending

licensee may vend within ten feet; provided, however, that such licensee

must vend as far as possible from the nearest such driveway, subway

entrance or exit, or corner, and in no event within five feet of such

driveway, subway entrance or exit, or corner;

(ii) vend on the median strip of a divided roadway unless such strip

is intended for use as a pedestrian mall or plaza;

(iii) vend over any ventilation grill, cellar door, manhole,

transformer vault, or subway access grating;

(iv) sell or offer for sale any item directly from any parked or

double-parked motor vehicle;

(v) use electricity or oil or gasoline powered equipment devices or

machinery of any kind; provided, however, that such specialized vending

license holder shall be authorized to use self-contained battery packs

not exceeding sixteen volts in total solely to provide lighting for

their vending business;

(vi) vend within thirty feet of an entrance to a park or within a park

under the jurisdiction of the agency in such city that is responsible

for such city's parks and recreational areas unless written

authorization therefor has been obtained from such agency;

(vii) vend within twenty feet of a sidewalk cafe;

(viii) vend within five feet from bus shelters, news stands, public

telephones, or disabled access ramps; and

(ix) vend within ten feet from entrances or exits to buildings which

are exclusively residential at street level.

7-a. In the borough of Manhattan in the city of New York, the

following additional provisions shall apply to the issuance of

specialized vending licenses to disabled veteran vendors pursuant to

this section:

(a) such specialized vending license holders shall additionally be

prohibited from vending on Broadway between Murray Street and Battery

Place and on Park Row between Ann Street and Spruce Street;

(b) such specialized vending license holders shall additionally be

prohibited from vending in the area including and bounded on the east by

the easterly side of Broadway, on the south by the southerly side of

Liberty Street, on the west by the westerly side of West Street and on

the north by the northerly side of Vesey Street.

8. Any dispute concerning the location of a vendor under subdivision

three of this section shall be subject to a prompt hearing before an

administrative law judge with the New York state department of labor,

provided that if such judge determines that a specialized vending

license holder willfully violated such procedure, such specialized

vending license holder shall be subject to a thirty day suspension of

the specialized vending license to peddle in the area and on the days

and at the times described in subdivision three of this section; if any

specialized vending license holder who has been determined to have

willfully violated such procedure is determined, in a subsequent

proceeding, to have willfully violated such procedure at any time

following the initial violation, such specialized vending license holder

shall be subject to a one-year suspension of the specialized vending

license to peddle in the area and on the days and at the times described

in subdivision three of this section; if such specialized vending

license holder is determined for a third time to have willfully violated

such procedure, such specialized vending license holder shall be subject

to permanent revocation of the specialized vending license to peddle in

the area and on the days and at the times described in subdivision

three of this section; other disputes arising under this section, other

than those disputes arising under paragraph (d) of subdivision seven of

this section, shall be adjudicated in accordance with local laws,

ordinances, by-laws or regulations concerning general vending.

9. There shall be established within the agency responsible for

issuing specialized vending licenses in such city an advisory committee

consisting of up to six disabled veteran vendors who shall consult with

the official designated to issue specialized vending licenses under this

section concerning the process by which specialized vending licenses are

issued and the restrictions herein are enforced. The members of such

committee shall be elected on or before August first, nineteen hundred

ninety-eight by a majority of the disabled veteran vendors holding

general vending licenses in such city as of August fifteenth, nineteen

hundred ninety-eight. The election of such members shall be by an

election which shall be conducted by the state department of labor;

provided, however, that if the majority of such disabled veteran vendors

holding general vendor licenses in such city as of June fifteenth,

nineteen hundred ninety-eight fail to select the members of such

committee on or before August second, nineteen hundred ninety-eight, the

agency responsible for issuing specialized vending licenses in such city

may still establish procedures for issuing specialized vending licenses

pursuant to this section no later than October first, nineteen hundred

ninety-eight. In the event a committee member resigns or is unable to

fulfill his or her duties, such member will be replaced by someone from

the ranks of the disabled veteran vendors by consensus of veterans on

the existing committee.

10. The agency responsible for issuing specialized vending licenses

shall publish educational materials describing the provisions of state

and local laws, rules and regulations governing disabled veteran vending

in the city of New York and enforcement thereof for distribution to the

public and appropriate city enforcement agencies.

11. Where the city of New York authorizes general vending, through

permit, auction, lottery or any other method subsequent to the effective

date of this subdivision other than temporary general vendor licenses

issued in connection with street fairs on any block face, street or

avenue specified in paragraph (a) of subdivision seven or subdivision

seven-a of this section, the prohibitions and restrictions in this

section on vending by specialized vending licensees shall not apply on

such block face, street or avenue and the number of specialized vending

licensees authorized per block face, street or avenue shall, at a

minimum, be equal to the greatest number of any single type of other

vendor including but not limited to food, general, or vendors of written

matter and others similarly situated on such block face, street or

avenue.

Definitions and application.

1. For the purposes of this article, the term "itinerant vendor" shall

mean a merchant, other than a merchant with an established retail store,

who transports to a building, vacant lot, or other location, including a

location where a fee is charged for the privilege of offering or

displaying goods for sale and/or where a fee is charged to prospective

buyers for admission to the area where goods are offered or displayed

for sale, an inventory of goods for the purpose of offering or

displaying such goods for sale, but shall not include persons who sell

by sample, catalog or brochure for future delivery, or who make sale

presentations pursuant to a prior invitation issued by the owner or

legal occupant.

2. This article shall not be construed to pre-empt any municipality

from adopting a local law, rules or regulations containing more

stringent penalties than those provided in this article.

Prohibited sales. No itinerant vendor, except for an authorized

manufacturer's representative or authorized distributor, shall offer for

sale any of the following items:

1. Food manufactured and packaged for sale for consumption by a child

under the age of two years; or

2. Drugs as defined in section three thousand three hundred two of the

public health law.

Violations and penalties. 1. The provisions of this article may

be enforced by the director of a municipal consumer affairs office, or

by the town attorney, city corporation counsel, or other lawfully

designated enforcement officer of a municipality or local government,

and all monies collected thereunder shall be retained by such

municipality or local government.

2. Under such procedures as may be established by a municipality or

local government, whenever a violation of this article has occurred, the

enforcement agency may impose a civil penalty of not more than one

hundred dollars for each violation.

3. Each item offered for sale or sold in violation of section

thirty-eight of this article shall constitute a separate violation.

Licenses. No person, corporation, partnership or firm shall

hereafter carry on the business of collateral loan broker, without

having first obtained from the mayor of the city or licensing authority

of the local governing body where the business is to be carried on a

license authorizing such person to carry on the same in the manner and

upon the conditions stated in the succeeding sections of this article.

In the city of New York such license may be issued by the commissioner

of consumer affairs. Nothing herein shall be construed to prohibit a

collateral loan broker from employing the title pawnbroker in connection

with the collateral loan business. The title pawnbroker shall be used

exclusively by a collateral loan broker.

Licenses, how obtained; penalty for carrying on business without

license. The mayor or such local licensing authority may from time to

time grant, under his or her hand and the official seal of his or her

office, to such citizens, or noncitizens lawfully admitted for permanent

residence in the United States, as he or she shall deem proper and who

shall produce to him satisfactory evidence of their good character, a

license authorizing such person to carry on the business of a collateral

loan broker, which license shall designate the house in which such

person shall carry on said business, and no person, corporation,

partnership or firm shall carry on the business of a collateral loan

broker without being duly licensed, nor in any other house than the one

designated in said license, under a penalty of one hundred dollars for

each day he or they shall exercise or carry on said business without

such license or at any other house than the one so designated. Any

person receiving such license shall pay therefor the sum of five hundred

dollars for the use of the city yearly where such business is to be

conducted in a city with a population of more than one million persons,

and where the business is to be conducted elsewhere the fee for such

license shall not exceed two hundred fifty dollars yearly, and every

such license shall expire one year from the date thereof, and may be

renewed on application to the mayor or local licensing authority each

and every year on payment of the same sum and upon performance of the

other conditions herein contained. Every person so licensed shall, at

the time of receiving such license, file with the mayor or such local

licensing authority granting the same a bond to the local authorities,

to be executed by the person so licensed and by two responsible

sureties, in the penal sum of ten thousand dollars, to be approved by

such mayor or local licensing authority, which bond shall be conditioned

for the faithful performance of the duties and obligations pertaining to

the business so licensed, and the mayor or such local licensing

authority shall have full power and authority to revoke such license for

cause.

Continuing education requirement. 1. Every person licensed as

a collateral loan broker pursuant to this article shall, between June

thirtieth, two thousand seven and June twenty-ninth, two thousand nine,

and during every two year period thereafter, complete not less than

twelve hours of continuing education instruction offered in a course or

program approved by any mayor or licensing authority which licenses

collateral loan brokers pursuant to this article. In cities having a

population of one million or more, the commissioner of consumer affairs

shall, on or before January thirty-first, two thousand seven, approve

not less than one twelve hour continuing education instruction course or

program for collateral loan brokers and not less than one eight hour

continuing education instruction course or program for managers of

collateral loan broker businesses, as required by subdivision two of

this section. Every such course or program shall be made available

through at least one distance learning methodology, such as written

materials and questionnaires, internet courses or other electronic means

and shall also be made available through seminars or workshops,

commencing on or before June thirtieth, two thousand seven. Every mayor

and licensing authority shall consult with one or more trade

associations representing collateral loan brokers prior to approving any

continuing education instruction course or program pursuant to this

section.

2. Every collateral loan broker which employs more than three

employees, shall designate one individual as the manager of the

collateral loan broker business. Upon such designation the mayor or

licensing authority, which licenses the collateral loan broker, shall be

provided notice by such broker of the individual who has been designated

as manager of the business. Every individual designated as the manager

of a collateral loan broker business shall, between June thirtieth, two

thousand seven and June twenty-ninth, two thousand nine, and during

every two year period thereafter, complete not less than eight hours of

continuing education instruction for such managers offered in a course

or program approved by any mayor or licensing authority which licenses

collateral loan brokers pursuant to this article.

3. Each collateral loan broker shall designate a manager for each

location at which such broker conducts business and employs more than

three employees and every such manager shall comply with the provisions

of subdivision two of this section.

4. Each approved provider of continuing education instruction pursuant

to this section and each collateral loan broker shall maintain the

records of the provision or receipts of such instruction for not less

than four years.

5. The failure to comply with the provisions of this section shall be

grounds for the suspension, revocation or refusal to issue any license

issued pursuant to this article.

Action on bond. If any person shall be aggrieved by the

misconduct of any such licensed collateral loan broker, and shall

recover judgment against him therefor, such person may, after the return

unsatisfied, either in whole or in part, of any execution issued upon

said judgment, maintain an action in his own name upon the bond of said

collateral loan broker in any court having jurisdiction of the amount

claimed, provided such court shall, upon application made for the

purpose, grant such leave to prosecute.

Certain entries to be made in book. Every such collateral loan

broker shall keep a book in which shall be fairly written, at the time

of such loan, an account and description of the goods, articles or

things pawned or pledged, the amount of money loaned thereon, the time

of pledging the same, the rate of interest to be paid on such loan, the

name and residence of the person pawning or pledging the said goods,

articles or things and a notation of whether the pledgor claims to be

the owner, consignee or agent of the owner.

Memorandum to be given. 1. Every such collateral loan broker

shall at the time of each loan deliver to the person pawning or pledging

any goods, article or thing, a memorandum or note signed by him

containing the substance of the entry required to be made in his book by

the last preceding section. Notwithstanding any general or special

statutes, local laws and ordinances to the contrary, no collateral loan

broker shall ask, demand or receive a service charge greater than ten

dollars for loans equal to or greater than five hundred dollars, or

seven dollars for loans equal to or greater than one hundred dollars but

less than five hundred dollars for any such memorandum or note, provided

that for loans less than one hundred dollars a service charge not

greater than four dollars may be imposed. The holder of such memorandum

or note shall be presumed to be the person entitled to redeem the pledge

and the collateral loan broker shall deliver such article to the person

so presenting such memorandum or note on payment of principal and

interest. Should such ticket be lost or mislaid the pawnor shall at

once apply to the collateral loan broker, in which case it shall be the

duty of the collateral loan broker to permit such person to examine his

books, and on finding the entry for said ticket, note or memorandum so

lost and upon his giving to the collateral loan broker an exact

description of the article pawned the collateral loan broker shall issue

a second or stop ticket for the same, provided such person shall furnish

to the collateral loan broker a lost instrument bond in an amount equal

to the fair market value of the pledge or, in the alternative, pay a

lost ticket charge of one percent of the amount of the loan, or five

dollars, whichever is greater. In case such pawnor neglects to so apply

and examine said books and receive such memorandum or note in the manner

above stated, the collateral loan broker will be bound to deliver the

pledge to any person producing such ticket for the redemption thereof.

This article is not to be construed as in any manner limiting or

affecting such collateral loan broker's common law liability in cases

where goods are stolen or other legal defects of title exist in the

pledgor.

2. In addition to the information required to be furnished pursuant to

subdivision one of this section a pawn ticket shall contain the

following notice:

NOTICE OF ELECTION

(a) The holder of this ticket may redeem the article pledged at any

time prior to sale at private sale or public auction first following

default. The article pledged may not be sold at private sale or auction

until it has remained four months in the collateral loan broker's

possession.

(b) If the article pledged is sold at private sale or public auction,

money, if any, in excess of the amount of the loan, interest, lawful

auctioneer's commission, if applicable, lawful extra care charges and

the expenses of the advertisement of sale, if applicable, shall be paid

to the holder of the pawn ticket.

(c) If the collateral loan broker shall purchase the article pledged

at auction the holder shall have an additional ten days to redeem the

article pledged by paying to the collateral loan broker the amount of

the loan, interest, lawful auctioneer's commission, lawful extra care

charges and the expense of the advertisement of sale.

(d) A holder may sell this ticket to a third party at any time prior

to private sale or auction, or he may sell this ticket to the collateral

loan broker any time ninety or more days after the article was pledged.

(e) If this ticket is sold to a collateral loan broker the holder may

redeem the ticket within ten days after the sale by paying to the

collateral loan broker the amount paid for the ticket.

3. Notwithstanding any general, special or local law or ordinance to

the contrary, if a collateral loan broker in good faith and without

knowledge extends credit on a loan, the collateral for which was

entrusted to the pledgor on consignment or was entrusted by a merchant

dealing in goods of the kind pledged to the pledgor who was a merchant

dealing in goods of the kind pledged, the collateral loan broker shall

be required to relinquish the collateral to the legal owner provided the

amount of the loan and interest due is paid.

Book to be open to inspection. The said book and any and all

other books and records regularly kept by such collateral loan broker

shall at all reasonable times be open to the inspection of the attorney

general, the state comptroller, the mayor or local licensing authority,

all judges of the criminal courts, the superintendent of police, police

inspectors, captains of police and police justices of such cities, or

any or either of them, or of any person who shall be duly authorized in

writing for that purpose by any or either of them, and who shall exhibit

such written authority to such collateral loan broker. The mayor or the

licensing authority of any local governing body, the state comptroller,

the attorney general and any person duly authorized by them shall have

the power to administer oaths and to examine under oath any such

collateral loan broker or any officer, or agent, of such collateral loan

broker and any other person having custody or control of such books and

records. Such books and records shall be retained in the possession of

the collateral loan broker, in good condition and in an orderly fashion

for at least a period of six years.

Rate of interest. Notwithstanding any general or special

statutes, local laws and ordinances to the contrary, no collateral loan

broker shall ask, demand or receive any greater rate of interest than

four per centum per month, or any fraction of a month, and a notice

containing a list of such rates of interest as herein provided and in

accordance with the act of congress entitled "Truth in Lending Act" and

the regulations thereunder, as such act and regulations may from time to

time be amended shall be conspicuously displayed within the premises of

such collateral loan broker. A minimum interest charge of twenty-five

cents per month may be made on any loan.

No collateral loan broker shall receive or be entitled to any interest

or charges as provided by this article on any loan for any period of

time exceeding fifteen months from the date of the making of such loan,

provided however that where a loan is extended at the direct request of

the pledgor, the collateral loan broker may receive and be entitled to

any interest or charges provided by this article on such loan for any

period of time not to exceed fifteen months from the date of such

extension.

Second-hand business. A collateral loan broker may purchase

items of personal property in accordance with this section, provided

however that a collateral loan broker shall not receive in pawn, as a

pledge or as a purchase any instrument or weapon mentioned in section

265.05 of the penal law. A collateral loan broker may purchase back any

pledge offered for sale by him or her at public auction and may

thereafter sell such pledge if the pledgor fails to redeem within ten

days or may purchase any pledge offered for sale by any other collateral

loan broker at private sale or public auction. Nothing in this article

shall prohibit a collateral loan broker from purchasing a pawn ticket

from a pledgor, his or her heirs or assigns upon the request of such

pledgor, heir or assign, ninety or more days after the item was pawned.

If the pawn ticket is sold to a collateral loan broker the pledgor, his

or her heirs or assigns shall be entitled to redeem said ticket within

ten days thereafter by tendering to the collateral loan broker the

amount paid by the collateral loan broker for the ticket. Nothing shall

prohibit the sale of new or second-hand property upon the premises where

such collateral loan business is conducted, nor the purchase of new or

second-hand property, except as otherwise expressly prohibited herein. A

person selling any item to a collateral loan broker, upon the premises

of a collateral loan broker, may cancel the transaction within five

business days, provided that the seller tenders the full purchase price,

together with a cancellation fee not to exceed ten dollars for sales

equal to or greater than five hundred dollars, seven dollars for sales

equal to or greater than one hundred dollars but less than five hundred

dollars, or four dollars for sales less than one hundred dollars. A

person selling jewelry, watches, precious stones, precious metals or

coins to a collateral loan broker shall be afforded the option of

converting the sale to a loan, provided the option is exercised within

fourteen days from the date of the sale (the loan shall be in the

principal amount of not less than eighty percent of the sale price).

A collateral loan broker engaged in the purchase or sale of

second-hand articles, other than pledges or pawn tickets, shall comply

with local laws or regulations governing dealers in second-hand

articles. A collateral loan broker engaged in the purchase of

second-hand articles shall provide the seller a receipt setting forth

the item or items purchased and the purchase price for each item.

Additionally, the receipt shall include a notice advising the seller of

the option to cancel the transaction within five business days or

convert the sale of jewelry, watches, precious stones, precious metals

and coins to a loan within fourteen days of the sale in accordance with

this section.

A collateral loan broker purchasing articles from the general public

shall display in a conspicuous place, in his or her shop, a sign

stating:

" PURSUANT TO ARTICLE 5 OF THE NEW YORK STATE GENERAL BUSINESS LAW A

COLLATERAL LOAN BROKER IS AUTHORIZED TO PROVIDE LOANS ON ITEMS PLEDGED

OR PURCHASE ITEMS OFFERED FOR SALE. YOU HAVE THE RIGHT TO USE AN ITEM AS

COLLATERAL FOR A LOAN OR SELL THE ITEM IN ACCORDANCE WITH STATE AND

LOCAL LAW. ALL SALES MAY BE CANCELLED WITHIN FIVE BUSINESS DAYS IN

ACCORDANCE WITH SAID ARTICLE 5. A SALE OF JEWELRY, WATCHES, PRECIOUS

STONES, PRECIOUS METALS OR COINS CAN BE CONVERTED TO A LOAN WITHIN 14

DAYS FROM THE DATE OF THE SALE."

Such sign shall be made of a durable material, with letters being at

least one inch high and have a stroke of at least one-quarter inch. The

letters and background shall be of contrasting colors.

Collateral loan broker dealing with a child. No collateral

loan broker or person in the employ of a collateral loan broker shall

receive or purchase any goods, chattels, wares or merchandise from, or

make any loan or advance or permit to be loaned or advanced to any

child, actually or apparently under the age of eighteen years any money,

or in any manner directly or indirectly receive any goods, chattels,

wares or merchandise from any such child in pledge for loans made or to

be made to it or to any other person or otherwise howsoever. It shall be

no defense to a prosecution for a violation of this section, that in the

transaction upon which the prosecution is based the child acted as the

agent or representative of another, or that the defendant dealt with

such child as the agent or representative of another.

Sale of unclaimed pledge by collateral loan broker. 1. No pawn

or pledge made with a collateral loan broker shall be sold until the

same shall have remained four months in his possession.

2. All sales of defaulted pledges shall be public or private with each

such pledge being individually offered for sale.

(a) If at public sale, then it shall be by public auction, and shall

be conducted by licensed auctioneers within the state of New York. All

bids for the purchase of any defaulted pledge offered at such sale shall

be oral, and expressed in dollars and cents without the use of any

special signs, signals or motions, if less than eleven people attend

such sale.

(b) A private sale may be at any time and place and on any terms but

every aspect of the disposition including the method, manner, time,

place and terms must be commercially reasonable and conducted in

conformity with applicable uniform commercial code provisions regarding

the disposal of collateral after default.

(c) In addition to any other provision contained in this article and

article twenty-two-A of this chapter, section three hundred forty-nine

of this chapter shall apply to a violation of the private and public

sale provisions of this article.

Notice of such sale; report. 1. No pledge shall be sold unless

written or printed notice of intention to sell with a statement of the

article or articles to be sold has been first mailed by letter addressed

to the pledgor at the address given at the time of pledging at least

thirty days prior to the date of sale. If the sale shall be by public

auction, then notice of every such sale shall be published for at least

six days previous thereto, in at least two of the daily newspapers

printed in the city where the business shall be carried on, and also in

two daily newspapers of the city where the sale is to take place and to

be designated by said mayor, and such notice shall specify the time and

place at which such sale is to take place and the name of the

auctioneers by whom the same is to be conducted together with a

statement of the class of pledges to be sold and the inclusive dates and

numbers of the pawn tickets of the pledges to be sold. If the pledge, at

such sale, shall be purchased back by the collateral loan broker, the

pledgor shall be entitled to redeem same within ten days thereafter by

tendering to the collateral loan broker the amount of the loan with the

interest due thereon, the amount of the auctioneer's lawful commission,

lawful extra care charges, and the expense of the advertisement of the

sale.

2. Any collateral loan broker who sells defaulted pledges at public

auction, pursuant to this article, shall file with the office of the

local governing body issuing such license within thirty days after such

sale, a verified report setting forth the name and address of the

collateral loan broker, the date when and place where such sale was

held, the name and address of the auctioneer that conducted such sale

and shall include a schedule of each of the defaulted pledges offered at

such sale, together with their pledge numbers, the amount received for

each pledge and a statement that each of the pledges so listed were

delivered over to the auctioneer and actually offered for sale at such

auction, and in the event the collateral loan broker, during the course

of such sale purchases back any such pledge, a statement setting forth

which pledges were purchased back by the collateral loan broker. An

affidavit of publication made by the newspaper in which the notice of

each such sale was published, as provided by section fifty of this

article, shall be annexed to every report filed pursuant to the

provisions of this section.

Disposition of proceeds. 1. The surplus money, if any, arising

from any such sale, after deducting the amount of the loan, the interest

then due on the same, the auctioneer's commissions, if applicable,

lawful extra care charges and the expense of the advertisement of the

sale, if applicable, shall be paid over by the collateral loan broker to

the person who would be entitled to redeem the pledge in case no such

sale had taken place.

2. In the event there is any surplus money due to a pledgor after such

sale, the collateral loan broker shall give the pledgor written notice

thereof, by mailing to such pledgor, directed to him at the address

given at the time of pledging or in the event such pledgor has notified

the collateral loan broker, in writing, of a change of address, to such

new address, within thirty days after such sale, a notice which shall

state the name and address of the collateral loan broker, the number of

the pledge, the date of sale and the amount of any surplus. In the event

any person entitled to such surplus fails to make claim for the same

within one year from the date of such sale, such surplus shall be paid

over, by the collateral loan broker, to the state comptroller in

accordance with the provisions of section one thousand three hundred one

of the abandoned property law.

Violation of this article. The mayor or local licensing

authority so licensing such collateral loan broker shall have full power

and authority after a hearing to impose fines and penalties of not less

than twenty-five dollars nor more than one hundred dollars upon persons

offending against any of the foregoing provisions of this article for

each and every offense, excepting sections forty and forty-one, and may

also suspend or revoke the license of the collateral loan broker

willfully violating any of the aforesaid provisions.

Term "collateral loan broker", how to be construed. The term

"collateral loan broker" contained in this article shall be construed so

as to include any person, partnership, or corporation: (1) loaning money

on deposit or pledge of personal property, other than securities or

printed evidences of indebtedness; or (2) dealing in the purchasing of

personal property on condition of selling back at a stipulated price; or

(3) designated or doing business as furniture storage warehousemen, and

loaning and advancing money upon goods, wares or merchandise pledged or

deposited as collateral security.

Registration statements. After September first, nineteen hundred

sixty, no person, corporation, partnership, firm or association shall

carry on the business of collateral loan broker within the state of New

York unless and until such collateral loan broker shall have caused to

be filed in the office of the state comptroller upon forms prescribed by

him a statement, duly verified as hereinafter provided, to be known as

"Collateral Loan Broker's Registration Statement" containing:

a. The name of such collateral loan broker.

b. The address of the principal office of such collateral loan broker,

if any, wherever situated, and the address or addresses of the principal

office of such collateral loan broker within this state, if any.

c. If such collateral loan broker be a partnership, the names,

residences and business addresses of the partners, including special or

limited partners, and of all other individuals participating as

principals in the profits of such business, specifying as to each the

nature of his relation to such business.

d. If such collateral loan broker be other than an individual or

partnership, the name of the state where incorporated or organized and

the names, residences and business addresses of its principal officers,

wherever located, and all its officers in this state, specifying as to

each the nature of his relation to such business.

e. The date on which such collateral loan broker acquired a license

and the name and location of the local governing body under whose hand

and seal or authority said license was obtained under the provisions of

this article.

f. In the event that after any collateral loan broker shall have filed

a statement as above, any change shall take place in the personnel of

the partners, principals, officers or in the location of the principal,

such collateral loan broker shall file a statement with the state

comptroller to be known as a "Collateral Loan Broker's Supplemental

Registration Statement", duly verified as hereinafter provided, setting

forth in full the details thereof.

g. Each such collateral loan broker statement and each collateral loan

broker supplemental statement shall be verified by the collateral loan

broker, or if such collateral loan broker be a partnership, by a general

partner thereof, or, if such collateral loan broker be other than an

individual or partnership, by a principal officer thereof, and shall

state that the facts therein stated are true to his own knowledge;

providing that in case of a statement or supplemental statement by a

collateral loan broker other than an individual the person verifying the

same may state on information and belief the facts therein included with

respect to any other individual, if such collateral loan broker

statement or supplemental statement shall have attached thereto an

affidavit of such other individual stating that all facts contained in

said collateral loan broker statement or supplemental statement with

respect to him are true.

h. The state comptroller may in his discretion adopt forms for the use

of collateral loan brokers for filing any statement with his department

pursuant to the provisions of this section and furnish such forms to

collateral loan brokers without charge or fee therefor. The state

comptroller shall collect the following fees:

For filing each "Collateral Loan Broker's Registration Statement",

five dollars; for filing each "Collateral Loan Broker's Supplemental

Statement", two dollars and fifty cents.

The fees herein enumerated shall be payable at the time of filing and

no filing shall be deemed effective within the meaning of this section

until such fees have been paid.

i. Whenever a collateral loan broker shall have filed any registration

statement or supplemental registration statement required to be filed

under the provisions of this section or shall have prepared in such

registration statement or supplemental registration statement and have

forwarded the same together with the fees required by subdivision h of

this section, postage prepaid and properly addressed, to the office of

the state comptroller in Albany, such collateral loan broker, as to the

filing of such collateral loan broker's statement or supplemental

registration statement shall be deemed to have complied with the

requirements of this section.

Violation of article. Any person, partnership, corporation,

company or association who willfully violates any of the provisions of

this article shall be guilty of a misdemeanor punishable by a fine of

not more than five hundred dollars, or imprisonment for not more than

one year or both.

Rules and regulations. The state comptroller is hereby

authorized and empowered to require the keeping of such additional

books, records, entries and reports as he may deem necessary and to

determine the amount of the surplus payable as abandoned property in the

event of non-compliance with the provisions of this article.

Limitation on refunds under commercial installment sales

agreements. An agreement for the sale of equipment, machinery or the

accessories or parts thereto to a commercial or business enterprise for

its use or for the purpose of resale which provides for the financing of

such purchase by an installment sale provision shall provide that any

refund due as a result of an early termination of the agreement shall be

determined according to a generally accepted actuarial method.

Definitions. As used in this article:

1. "Junk metal" means any product made of steel, copper, copper alloy,

brass, aluminum, or aluminum alloy that is readily used or useable by a

public utility, railroad, county, city or state highway department,

public or private school, or an institution of higher education or which

has an established market for resale to scrap processors as defined in

section sixty-nine-e of this chapter.

2. "Junk dealer" means any individual, firm, corporation, limited

liability company, or partnership engaged in the business of purchasing

and reselling valuable metal either at a permanently established place

of business or in connection with a business of an itinerant nature,

including junk shops, junk yards, junk stores, auto wreckers, salvage

yards, collectors of or dealers in junk and junk cars or trucks, but

shall not include any individual, firm, corporation, limited liability

company, or partnership duly licensed as a scrap processor as provided

in article six-c of this chapter.

3. "Purchase" means acquiring a junk metal product or products by a

junk dealer for a consideration, but does not include purchases between

scrap processors.

Licenses. It shall be unlawful for any person, association,

partnership or corporation to engage in the business of buying or

selling old metal, which business is herein designated junk business,

and which person, association, partnership or corporation is herein

designated junk dealer, unless such junk dealer shall have complied with

the provisions of this article and obtained a license so to do from the

mayor of the city, if the principal place of business of such junk

dealer is in a city, or the mayor of the village if such place of

business is in an incorporated village, otherwise from the supervisor of

the town in which such place of business is located; for which license

shall be paid such mayor or supervisor for the use of such city, village

or town, the sum of five dollars, which license shall expire on June

thirtieth of each year. The provisions of this article shall not apply

to any person, association, partnership or corporation duly licensed and

engaged in the business of scrap processing as provided in article six-C

hereof.

Persons not entitled to license. No person, association,

partnership or corporation shall be entitled to or receive such license

who or which, and in case of a partnership or association any member of

which, has been since January first, nineteen hundred and three, or who

or which shall hereafter be convicted of larceny or knowingly receiving

stolen property, or of a violation of this article.

Statement required from persons selling certain property. On

purchasing any pig or pigs of metal, bronze or brass castings or parts

thereof, sprues or gates or parts thereof, copper wire or brass car

journals, or metal beer kegs, such junk dealer shall cause to be

subscribed by the person from whom purchased a statement as to when,

where and from whom he or she obtained such property, also his or her

identity as verified by a government issued identification card, age,

residence by city, village or town, and the street and number thereof,

if any, the driver's license number or information from a government

issued identification card, if any, of such person, and otherwise such

description as will reasonably locate the same, his or her occupation

and name of his or her employer and place of employment or business,

which statement the junk dealer shall forthwith file in the office of

the chief of police of the city or village in which the purchase was

made, if made in a city or incorporated village, and otherwise in the

office of the sheriff of the county in which made. The junk metal dealer

shall also make and retain a copy of the government issued photographic

identification card used to verify the identity of the person from whom

the junk metal was purchased and shall retain this copy in a separate

book or register for two years from the date of purchase of the junk

metal and include an additional copy of this identification with the

information required to be transmitted to the chief of police or sheriff

pursuant to this section.

Certain property to be kept in separate piles. Every junk dealer

shall on purchasing any of the property described in the last section

place and keep each separate purchase in a separate and distinct pile,

bundle or package, in the usual place of business of such junk dealer,

without removing, melting, cutting or destroying any article thereof,

for a period of five days immediately succeeding such purchase, on which

package, bundle or pile shall be placed and kept by such dealer a tag

bearing the name and residence of the seller, with the date, hour and

place of purchase, and the weight thereof.

Purchasing property from a child. No owner, keeper or

proprietor of a junk shop, junk cart or other vehicle or boat or vessel

used for the collection of junk, or any person in the employ of such

owner, keeper, or proprietor, or any collector of junk, shall receive or

purchase any goods, chattels, wares or merchandise from any child under

the age of sixteen years. It shall be no defense to a prosecution for a

violation of this section, that in the transaction upon which the

prosecution is based the child acted as the agent or representative of

another, or that the defendant dealt with such child as the agent or

representative of another.

Penalty. Each violation of this article, either by the junk

dealer, the agent or servant thereof, and each false statement made in

or on any statement or tag above mentioned shall be a misdemeanor and

the person convicted shall, in addition to other penalties imposed,

forfeit his license to do business. But nothing herein contained shall

apply to cities of the first class.

Sale of incarcerated individual made goods. No goods, wares, or

merchandise, manufactured, produced or mined wholly or in part by

incarcerated individuals, except incarcerated individuals or persons on

parole, probation, or release, shall be sold in this state to any

person, firm, association or corporation except that nothing in this

section shall be construed to forbid the sale of such goods produced in

the correctional facilities of this state to the state, the government

of the United States or to any state of the United States, or any

political subdivision thereof, or for any public institution owned or

managed and controlled by the state, or any political subdivision

thereof, as provided in section one hundred eighty-four of the

correction law, or any public corporation or eleemosynary association or

corporation funded in whole or in part by any federal, state or local

funds, or to forbid the sale, subject to the rules and regulations of

the head of the department or other like governmental authority having

jurisdiction, of any product resulting from occupational therapy within

any penal or correctional institution, as provided in section one

hundred ninety-seven of the correction law.

Nothing in this section shall be construed to forbid the sale of parts

and components produced by incarcerated individual labor in correctional

industry programs of the government of the United States or any state of

the United States, or any political subdivision thereof, to the

department of corrections and community supervision's division of

correctional industries for use in its manufacturing operations.

A violation of the provisions of this section shall constitute a

misdemeanor.

Sale of goods produced with child labor. No goods, wares, or

merchandise, manufactured or produced in or for a factory or by

industrial homework or produced or mined in a mine or quarry in this or

any other state, or in any territory, dependency or possession of the

United States, on or after the date this article takes effect, wholly or

in part through the use of child labor shall be sold in this state to

any person, firm, association or corporation, provided that the seller

shall have notice that such goods, wares or merchandise were so

manufactured, produced or mined.

Definitions. For the purposes of this article:

1. The term "child labor" shall be defined as employment of persons

under sixteen years of age.

2. The term "factory" shall be defined as provided in the first

sentence of paragraph nine of section two of the labor law. Goods, wares

and merchandise shall be deemed to be manufactured or produced for a

factory if labor, other than that incident to agriculture or farming, be

done for a factory at any place upon its work or upon any of the

materials entering into its product, whether under contract or

arrangement with any person in charge of or connected with such factory

directly or indirectly through one or more contractors or other third

persons.

3. The term "industrial home work" shall be defined as provided in

section three hundred fifty of the labor law.

4. The term "employment" shall be defined as permitting or suffering

another to work.

5. The term "notice" shall be deemed to include, but not to be

confined to, information derived from a label affixed to goods, wares or

merchandise or to any package, container, crate or unit of rolling stock

in which the same are contained.

Violations. A violation of the provisions of this article

shall constitute a misdemeanor.

Saving clause with respect to other laws. Nothing in this

article shall be deemed to modify, alter, repeal or amend any provision

affecting terms, requirements, conditions, hours or wages of employment,

or any definitions applicable thereto, contained in the labor law, the

education law or any other law, general, special or local.

Definitions. 1. "Scrap metal processing facility" shall mean

an establishment engaged primarily in the purchase, processing and

shipment of ferrous and/or non-ferrous scrap, the end product of which

is the production of raw material for remelting purposes for steel

mills, foundaries, smelters, refiners, and similar users.

2. "Scrap processor" shall mean any person, association, partnership

or corporation operating and maintaining a "scrap metal processing

facility".

License. It shall be unlawful for any person, association,

partnership or corporation to engage in business as a scrap processor

unless such scrap processor shall have complied with the provisions of

this article and obtained a license to do so from the mayor of the city,

if the place of business of such scrap processor is in a city, or the

mayor of the village if the place of business is in an incorporated

village, otherwise from the supervisor of the town in which such place

of business is located, or from the licensing authority of any such

municipality; for which license shall be paid such mayor or supervisor

or licensing authority for the use of such city, village, or town the

sum of seventy-five dollars if such place of business is the principal

place of business of such scrap processor in this state, otherwise the

sum of fifty dollars, which license shall expire on June thirtieth of

each year.

Records. 1. Such scrap processor shall record (i) each

purchase of any pig or pigs of metal, bronze or brass castings or parts

thereof, sprues or gates or parts thereof, utility wire or brass car

journals, or of metal beer kegs, and (ii) each purchase of iron, steel

and/or nonferrous scrap for a price of fifty dollars or more, and

preserve such record for a period of three years; which record shall

show the date of purchase, name of seller, his residence address by

street, number, city, village or town, the driver's license number or

information from a government issued photographic identification card,

if any, of such person, or by such description as will reasonably locate

the seller, the type and quantity of such purchase; and the scrap

processor shall cause such record to be signed by the seller or his

agent. It shall be unlawful for any seller to refuse to furnish such

information or to furnish incorrect or incomplete information. Such

scrap processor shall also make and retain a copy of the government

issued photographic identification card used to verify the identity of

the person from whom the scrap metal was purchased and shall retain this

copy in a separate book, register or electronic archive for two years

from the date of purchase.

2. Such records shall be available for inspection by the police

department of the state or the municipality in which the establishment

is located.

Penalty. 1. Each violation of this article by a scrap

processor shall be a violation subject to a fine of not more than two

hundred dollars, unless such violation shall be wilful, in which event

it shall be a misdemeanor except, however, the scrap processor shall not

be liable for any violation of this article by a seller, his agent, or a

purported seller or agent.

2. Each violation of this article by a seller or his agent shall be a

misdemeanor.

Definitions. As used in this article, unless the context

requires otherwise:

1. "Department" means the department of state.

2. "Person" means an individual, firm, company, partnership, limited

liability company or corporation.

3. "Licensee" means a person as herein defined licensed to engage in

the business of installing, servicing or maintaining security or fire

alarm systems under this article.

4. "To engage in the business of installing, servicing or maintaining

security or fire alarm systems" means and refers to a person who holds

himself out directly or indirectly, as being able, or who offers or

undertakes, by any means or method, to install, service or maintain a

security or fire alarm system to detect intrusion, break-in, movement,

sound or fire.

5. "Fee", "examination fee", "license fee" and "renewal fee" mean the

fees required to accompany an application for examination or fingerprint

processing for or issuance of any license, including any temporary,

apprentice or renewal license, pursuant to this article. Such fee shall

be non-refundable.

6. "Alarm system" means a system installed to detect intrusion,

break-in, movement, sound or fire.

7. "False alarm" means the activation of any alarm system that results

in a request for police or fire or other emergency for which the

responding public safety agency finds no evidence of criminal activity,

fire, or emergency.

8. "Municipality" means a county, town, city or village.

9. "Alarm system company" means a company licensed to engage in the

business of installing, servicing, or maintaining security or fire alarm

systems pursuant to this article.

License required. 1. On and after October first, nineteen

hundred ninety-two, no person shall engage in the business of

installing, servicing or maintaining security or fire alarm systems or

hold himself out as being able so to do unless he is licensed therefor

pursuant to this article. Nothing herein shall prohibit a person

licensed in accordance with the provisions of this article from

employing individuals to assist in the installation, servicing or

maintaining of security or fire alarm systems, provided such licensee

issues identification cards on a form prescribed by the secretary of

state to each unlicensed individual.

2. Notwithstanding the provisions of subdivision one of this section,

a license shall not be required of a person to engage in the business of

installing, servicing or maintaining security or fire alarm systems if

such an alarm system is to be installed in a motor vehicle, water vessel

or aircraft or is a battery-operated smoke detection device.

Furthermore, a property owner or proprietor who purchases or owns an

alarm system to be installed by him or his employees onto his property

or place of business shall not fall under the provisions of this

article.

Powers of the secretary of state. In addition to the powers

and duties elsewhere prescribed in this article, the secretary of state

shall have power:

1. To appoint an adequate number of assistants, inspectors and other

employees as may be necessary to carry out the provisions of this

article, to prescribe their duties, and to fix their compensation within

the amount appropriated therefor.

2. To examine into the qualifications and fitness of applicants for

licenses under this article.

3. To keep records of all licenses issued, suspended or revoked.

4. To prepare a manual of rules and regulations for the conduct of

examinations and to furnish copies thereof to persons desiring the same

upon payment of a reasonable fee therefor.

5. To adopt such rules and regulations not inconsistent with the

provisions of this article, as may be necessary with respect to the form

and content of applications for licenses, the reception thereof, the

investigation and examination of applicants and their qualifications,

and the other matters incidental or appropriate to his powers and duties

as prescribed by this article and for the proper administration and

enforcement of the provisions of this article, and to amend or repeal

any of such rules and regulations.

License after examination; application. 1. After successfully

passing the designated examination, any person over the age of eighteen

years, desiring a license to engage in the business of installing,

servicing or maintaining security or fire alarm systems under this

article, may make application to the secretary of state therefor. The

application shall be subscribed by the applicant and affirmed by him as

true under the penalties of perjury. The application shall be in such

form and shall contain such information relative to the applicant and

his qualifications as may be prescribed by the secretary of state. Each

application shall be accompanied by:

(a) Two recent photographs of the applicant of a size prescribed by

the secretary of state and two sets of fingerprints of the applicant to

be recorded in such manner as the secretary of state may prescribe by

rule. The fingerprints shall be taken on a standard fingerprint card

approved for fingerprinting by the state division of criminal justice

services and shall be accompanied by the appropriate processing fees in

proper form for the division of criminal justice services;

(b) Evidence of education satisfactory to the secretary of state which

shall include evidence of the successful completion of a course of study

in a school duly licensed pursuant to the education law or approved by

the board of regents as a school qualified to instruct students in the

field of security or fire alarm systems or can demonstrate to the

satisfaction of the secretary of state that he has successfully

completed an approved industry sponsored training program; and

(c) Evidence of having successfully passed the required examination.

2. After the filing of an applicant's fingerprint cards, the secretary

of state shall forward such fingerprints to the division of criminal

justice services to be compared with the fingerprints on file with the

division of criminal justice services in order to ascertain whether the

applicant has been convicted of a felony involving fraud, bribery,

perjury or theft pursuant to article one hundred forty, one hundred

fifty-five, one hundred sixty, one hundred sixty-five, one hundred

seventy, one hundred seventy-five, one hundred seventy-six, one hundred

eighty, one hundred eighty-five, one hundred ninety, one hundred

ninety-five, two hundred or two hundred ten of the penal law; or has a

criminal action which has been pending for such a felony for under one

year without a final disposition unless adjourned in contemplation of

dismissal; provided, however, that for the purposes of this article,

none of the following shall be considered criminal convictions or

reported as such:

(a) A conviction which has been vacated and replaced by a youthful

offender finding pursuant to article seven hundred twenty of the

criminal procedure law, or the applicable provisions of law of any other

jurisdiction; or

(b) A conviction the records of which have been expunged or sealed

pursuant to the applicable provisions of the laws of this state or of

any other jurisdiction; or

(c) A conviction for which a certificate of relief from disabilities

or a certificate of good conduct has been issued pursuant to the

correction law.

The division of criminal justice services shall retain the fingerprint

cards and return the report of such convictions or pending cases, if

any, to the secretary of state who shall retain them in a confidential

file for no more than one year, after which time such report shall be

destroyed.

The secretary of state shall deny the application of any individual

convicted of a felony involving fraud, bribery, perjury or theft

pursuant to article one hundred forty, one hundred fifty-five, one

hundred sixty, one hundred sixty-five, one hundred seventy, one hundred

seventy-five, one hundred seventy-six, one hundred eighty, one hundred

eighty-five, one hundred ninety, one hundred ninety-five, two hundred or

two hundred ten of the penal law; or has a criminal action which has

been pending for such a felony for under one year without a final

disposition unless adjourned in contemplation of dismissal; provided,

however, that for the purposes of this article, none of the following

shall be considered criminal convictions or reported as such:

(i) A conviction which has been vacated and replaced by a youthful

offender finding pursuant to article seven hundred twenty of the

criminal procedure law, or the applicable provisions of law of any other

jurisdiction; or

(ii) A conviction the records of which have been expunged or sealed

pursuant to the applicable provisions of the laws of this state or of

any other jurisdiction; or

(iii) A conviction for which a certificate of relief from disabilities

or a certificate of good conduct has been issued pursuant to the

correction law.

3. The secretary of state shall prepare question papers which shall be

the same for all applications at any given examination. The questions

may be partly written and partly oral and shall not be confined to any

specific method or system. In addition, a portion of the examination may

include testing of practical skills through various exercises. No person

shall receive a license hereunder who has not actually demonstrated to

the secretary of state his ability and fitness to engage in the business

of installing, servicing or maintaining security or fire alarm systems

in such practical tests as may be required by the secretary of state.

4. Examinations shall be in the English language and shall be held at

least quarterly and shall be given in at least four convenient places in

the state.

5. There shall be an examination fee of fifteen dollars.

6. When an applicant has successfully passed the examination therefor,

and has otherwise qualified for a license, the secretary of state on

payment of the fee prescribed by this article, shall issue to such

applicant a license to engage in the business of installing, servicing

or maintaining security or fire alarm systems.

License without examination. 1. Any person over the age of

eighteen years who shall present to the secretary of state satisfactory

evidence that he has been actually engaged in the business of

installing, servicing or maintaining security or fire alarm systems in

this state for at least two years within the period of three years

immediately prior to October first, nineteen hundred ninety-two, shall

be entitled to a license under this article without examination,

provided that application therefor is accompanied by the requirements of

paragraphs (a) and (b), respectively, of subdivision one of section

sixty-nine-o of this article and the required annual license fee, is

filed with the secretary of state.

2. The secretary of state shall upon application and without

examination, issue a license to any person over the age of eighteen

years who has been duly licensed by any other state, territory,

protectorate or dependency of the United States to engage in the

business of installing, servicing or maintaining security or fire alarm

systems upon compliance with standards and requirements not lower, in

the judgment of the secretary of state, than those of this state,

provided, however, that such state extends similar reciprocity to

licensees of this state. Such application shall be accompanied by the

requirements of paragraphs (a) and (b), respectively, of subdivision one

of section sixty-nine-o of this article and the required license fee.

3. (a) If any person, eligible for any license, mentioned in this

section, be in the military service at or during the time application

for such license is required to be filed and license fee paid, according

to the provisions of this section, the period within which said

application may be filed and license fee may be paid, is extended in

behalf of such person, until three months after the termination of said

military service, any provision contained in this article to the

contrary, notwithstanding.

(b) In the case of persons who are or were in the military service and

(i) have been or will be discharged under conditions other than

dishonorable, or (ii) have a qualifying condition, as defined in section

one of the veterans' services law, and received a discharge other than

bad conduct or dishonorable from such service, or (iii) are discharged

LGBT veterans, as defined in section one of the veterans' services law,

and have received a discharge other than bad conduct or dishonorable

from such service, the period of two years specified in subdivision one

of this section need not be continuous. The length of time such person

was engaged in the business of installing, servicing or maintaining

security or fire alarm systems before entering the military service may

be added to any period of time during which such person was or is

engaged in the business of installing, servicing or maintaining security

or fire alarm systems after the termination of military service.

Licensed master electrician waiver. 1. Any person who is

licensed by any municipality as a master electrician and who engages in

the business of installing, servicing or maintaining security or fire

alarm systems within such municipality shall be waived from the

provisions of this article upon registration with the secretary of state

in accordance with the provisions of this section.

2. Each licensed master electrician seeking a waiver shall register

with the secretary of state on a form prescribed by the secretary. Such

form shall include at least: the individual's name and home address, the

business's name and address, a listing of jurisdictions in which the

master electrician is licensed, a listing of all appropriate license

numbers and such other information as the secretary shall deem

necessary. No applicant for a waiver shall be required to meet the

provisions of section sixty-nine-o of this article.

3. Any waiver shall only apply for engaging in the business of

installing, servicing or maintaining security or fire alarm systems in

municipalities where such master electrician is licensed. However,

should a licensed master electrician for any reason become unlicensed by

any municipality, such master electrician shall immediately inform the

secretary of state of such action. The secretary of state may suspend

any waiver granted upon the basis of the master electrician license.

4. A master electrician who engages in the business of installing,

servicing or maintaining security or fire alarm systems in

municipalities where such master electrician is not duly licensed, shall

be required to be licensed pursuant to this article.

5. A master electrician who is licensed in any municipality within the

state shall be deemed to have satisfied the requirements of paragraphs

(b) and (c) of subdivision one of section sixty-nine-o of this article.

6. The fee for all waivers granted to any master electrician shall be

established by the secretary of state and shall not exceed fifty dollars

every two years. Provided, however, that any person licensed pursuant to

this article prior to the effective date of this section shall be exempt

from the waiver fee for periods prior to October first, nineteen hundred

ninety-four. Such waiver shall be valid for a two year period and be

renewable for two year periods thereafter.

7. Any license issued by any municipality establishing a master

electrician license after July fifteenth, nineteen hundred ninety-three

shall not be grounds for a waiver pursuant to this section unless the

secretary determines that the standards for such master electrician

license are not lower than those of this article.

Licenses; display; renewal; duplicates. 1. All licenses shall

be for a period of two years.

2. No license shall be assignable or transferable except as

hereinafter provided.

3. (a) A license issued to a limited liability company or to a

corporation to engage in the business of installing, servicing or

maintaining security or fire alarm systems shall require that such

business be operated under the direction and control of at least one

member or manager of the limited liability company or a manager or

managing officer of a corporation, who shall be required to meet the

licensing requirements of this article on behalf of the licensee and

who, in the case of a corporation, shall not be required to be an

officer of the corporation. If such member, manager or managing

officer, who shall have met the requirements of this article, ceases to

act in the capacity of member, manager or managing corporate officer for

any reason whatsoever, the licensee shall notify the department in

writing within fourteen days from such termination or cessation. The

licensee may continue to conduct the business of installing, servicing

or maintaining security or fire alarm systems for a period not to exceed

sixty days from the date of such termination or cessation; the period of

sixty days aforesaid may be extended upon application to the secretary

of state and for good cause for an additional period not to exceed one

hundred twenty days; by the end of such period a new member, manager or

managing officer must be designated who has met the licensing

requirements of this article on behalf of the licensee.

(b) The limited liability company or corporation shall be liable with

respect to all actions taken by its member, manager or managing officer

acting on behalf of such limited liability company or corporation.

4. A license to engage in the business of installing, servicing or

maintaining security or fire alarm systems issued to an individual may

be assigned or transferred for the remainder of the license period to a

partnership, limited liability company or corporation if such individual

is a member of such partnership, a member of the limited liability

company or an officer of such corporation at the time of such assignment

or transfer. A license issued to a partnership may be assigned or

transferred for the remainder of the license period to any one member of

such partnership, provided he obtains the consent of all of the other

members of such partnership. The application for such transfer or

assignment must be accompanied by the requirements of paragraphs (a) and

(b) of subdivision one of section sixty-nine-o of this article and by

proof satisfactory to the department that the requirements herein

provided have been complied with. No assignment or transfer shall become

effective unless and until the endorsement has been made on the face of

the license by the department and such license, so endorsed, has been

returned to the assignee or transferee. All such endorsements shall be

made without payment of any fee. A bona fide purchaser of such business

from the holder of the license thereof may continue to use the license

of the seller for a period of thirty days from the date of the sale,

provided there is endorsed on the face thereof the name of the

purchaser, the date of the sale, and the signature of the seller and the

purchaser; and provided further within five days from the date of the

sale, an application, in accordance with the provisions of this article,

shall be presented by the purchaser to the secretary of state for a

license to conduct the business of installing, servicing or maintaining

security or fire alarm systems.

5. Employees of a person licensed to conduct the business of

installing, servicing or maintaining security or fire alarm systems

shall not be required to be licensed provided that the nonlicensed

employee have in his possession an identification card issued pursuant

to section sixty-nine-m of this article. A person licensed to conduct

such business shall, however, be required to submit to the department a

full set of fingerprints of any employee who assists in the

installation, servicing or maintaining of security or fire alarm

systems, which shall be forwarded by the department to the division of

criminal justice services to be compared with the fingerprints on file

with the division to determine whether such employee has been convicted

of a felony involving fraud, bribery, perjury or the theft pursuant to

article one hundred forty, one hundred fifty-five, one hundred sixty,

one hundred sixty-five, one hundred seventy, one hundred seventy-five,

one hundred seventy-six, one hundred eighty, one hundred eighty-five,

one hundred ninety, one hundred ninety-five, two hundred or two hundred

ten of the penal law or has a criminal action which has been pending for

under one year without a final disposition unless adjourned in

contemplation of dismissal. Employee fingerprints will be recorded in

such manner as the secretary of state may prescribe by rule. Such

employee's fingerprints shall be taken on a standard fingerprint card

approved for fingerprinting by the state division of criminal justice

services and shall be accompanied by the appropriate processing fees in

proper form for the division of criminal justice services. The division

of criminal justice services shall return the fingerprint card and the

report of such convictions to the department, who shall then notify the

licensee that such employee has been convicted of such a felony or has a

criminal action pending pursuant to a schedule developed by the division

in conjunction with the secretary of state but not to be implemented

prior to September first, nineteen hundred ninety-four. Upon submission

of such fingerprints to the department, a person may be employed on a

provisional basis to assist in the installation, servicing or

maintaining of security or fire alarm systems. However, such employee

may not continue in such a capacity if it is determined that such

employee has been convicted of such a felony or has a criminal action

pending.

6. A license to conduct the business of installing, servicing or

maintaining security or fire alarm systems issued to an individual or to

a partnership may be used after the death of the licensed individual or

co-partner by his next of kin or duly appointed administrator or

executor in the name of the estate for a period of not more than sixty

days from the date of death of such individual or co-partner, provided

that there is endorsed upon the face of the license after the name of

the decedent the word "deceased", the date of death and the name of the

next of kin, administrator or executor under whose authority the license

is being used; the period of sixty days aforesaid may be extended upon

application to the secretary of state and for good cause shown for an

additional period not to exceed one hundred twenty days. Any license so

continued which shall expire during such period of sixty days or the

extension thereof may be renewed by the next of kin, administrator or

executor for the balance of such period or the extension thereof.

7. A license to conduct the business of installing, servicing or

maintaining security or fire alarm systems shall be conspicuously posted

upon the premises where the licensee is engaged in the business of

installing, servicing or maintaining security or fire alarm systems.

8. Any license which has not been suspended or revoked, may, upon the

payment of the renewal fee prescribed by this article, be renewed for

additional periods of two years from its expiration, without further

examination, upon the filing of an application for such renewal, on a

form and with such additional information as prescribed by the secretary

of state.

9. Any person failing to file application and fee for renewal of a

license within one year immediately following the expiration of his last

license shall pay an additional fee of sixty dollars, and if he fails to

file application and fee for renewal within two years he shall be

ineligible for such license until he shall have again met the

requirements set forth in this article.

10. A duplicate license may be issued for one lost, destroyed or

mutilated upon application therefor on a form prescribed by the

secretary of state and the payment of the fee prescribed therefor by

this article. Each such duplicate license shall have the word

"duplicate" stamped across the face thereof and shall bear the same

number as the one it replaces.

11. Notice in writing shall be given the secretary of state at his

office in Albany by the holder of a license to conduct the business of

installing, servicing or maintaining security or fire alarm systems of

any change in address of the business or residence of the person engaged

in such business together with the return of license, whereupon a

properly signed endorsement will be made on the face of the license as

to such change and the license then returned to the licensee. A change

of address by a licensee without such notice and endorsement of license

shall operate to cancel the license.

Fees. 1. The fee for a license to engage in the business of

installing, servicing or maintaining security or fire alarm systems

shall be two hundred dollars plus an amount to be determined by the

division of criminal justice services to cover the cost of the

division's fingerprint search and report. For each renewal thereof, the

fee shall be one hundred dollars plus an amount to be determined by the

division of criminal justice services to cover the cost of the

division's fingerprint search and report.

2. The fee for taking an examination under this article shall be

fifteen dollars; provided, however, that if the applicant qualifies for

a license as the result of such examination, the fee paid for the

privilege of taking such examination shall be included in the license

fee for the license issued to him thereon.

3. The fee for issuing a duplicate license in substitution for one

lost, destroyed or mutilated shall be twenty-five dollars.

4. The fee for changing a name or address shall be ten dollars.

5. The fees hereinabove set forth shall be those for licenses issued

for the license period of two years or fraction of such period.

Suspension and revocation of licenses. 1. A license to engage

in the business of installing, servicing or maintaining security or fire

alarm systems may be suspended or revoked, or in lieu thereof a fine not

exceeding one thousand dollars per violation payable to the department

may be imposed or a reprimand issued by the secretary of state, for any

one or more of the following causes:

(a) Fraud or bribery in securing a license;

(b) The making of any false statement as to a material matter in any

application or other statement or certificate required by or pursuant to

this article;

(c) Incompetency;

(d) Failure to display the license as provided in this article;

(e) Violation of any provision of this article, or of any rule or

regulation adopted hereunder;

(f) Conviction of a felony involving fraud, theft, perjury or bribery

or other cause which would permit disqualifications from receiving a

license upon the original application.

2. Whenever the license to engage in the business of installing,

servicing or maintaining security or fire alarm systems is revoked, such

license shall not be reinstated or reissued until after the expiration

of a period of five years from the date of such revocation.

Revocation, suspension, reprimands, fines; unlicensed

activities. 1. The secretary of state shall, before imposing any fine or

reprimand on a person thereof, or before issuing any order directing the

cessation of unlicensed activities, and at least ten days prior to the

date set for the hearing, notify in writing such person, or the person

alleged to have engaged in unlicensed activities, of any charges made

and shall afford such person an opportunity to be heard in person or by

counsel in reference thereto. Such written notice may be served by

delivery of same personally to the person charged, or by mailing same by

certified mail to the last known business or other address provided by

such person to the secretary of state, or by any method authorized by

the civil practice law and rules for the service of a summons. The

hearing on such charges shall be at such time and place as the

department shall prescribe.

2. The department, acting by such officer or person in the department

as the secretary of state may designate, shall have the power to

subpoena and bring before the officer or person so designated any person

in this state, and administer an oath to and take testimony of any

person or cause his deposition to be taken. A subpoena issued under this

section shall be regulated by the civil practice law and rules.

Hearing on charges; decision. No license shall be suspended or

revoked nor shall any fine or reprimand be imposed until after a hearing

had before an officer or employee of the department designated for such

purpose by the secretary of state, upon notice to the licensee of at

least ten days. The notice shall be served either personally or by

certified mail and shall state the date and place of hearing and set

forth the ground or grounds constituting the charges against the

licensee. The licensee shall have the opportunity to be heard in his

defense either in person or by counsel and may produce witnesses and

testify in his behalf. A stenographic record of the hearing shall be

taken and preserved. The hearing may be adjourned from time to time. The

person conducting the hearing shall make a written report of his

findings and a recommendation to the secretary of state for decision.

The secretary of state shall review such findings and the recommendation

and, after due deliberation, shall issue an order accepting, modifying

or rejecting such recommendation and dismissing the charges or

suspending or revoking the license or in lieu thereof imposing a fine or

reprimand upon the licensee. For the purpose of this article, the

secretary of state or any officer or employee of the department

designated by him, may administer oaths, take testimony, subpoena

witnesses and compel the production of books, papers, records and

documents deemed pertinent to the subject of investigation.

Judicial review. The action of the secretary of state in

suspending, revoking or refusing to issue or renew a license, or

imposing a fine or reprimand on the holder thereof may be reviewed by a

proceeding brought under and pursuant to article seventy-eight of the

civil practice law and rules.

Violations and penalties. Any person who shall directly or

indirectly engage in the business of installing, servicing or

maintaining security or fire alarm systems or hold himself out to the

public as being able so to do without a license therefor, or who shall

violate any of the provisions of this article, or having had his license

suspended or revoked, shall continue to engage in the business of

installing, servicing or maintaining security or fire alarm systems or

who, without a license to engage in the business of installing,

servicing or maintaining security or fire alarm systems, directly or

indirectly employs, permits or authorizes an unlicensed person to engage

in the business of installing, servicing or maintaining security or fire

alarm systems, shall be guilty of a misdemeanor and, upon conviction,

shall be punishable by imprisonment of not more than six months, or by a

fine of not more than one thousand dollars or by both such fine and

imprisonment upon the first conviction and by imprisonment of not more

than one year or by a fine of not less than one thousand dollars nor

more than five thousand dollars or by both such fine and imprisonment

upon a subsequent conviction. Each violation of this article shall be

deemed a separate offense.

Civil penalties. Notwithstanding any inconsistent provision

of law, with respect to violations of section sixty-nine-ss of this

article, the secretary of state is authorized, upon the complaint of any

person or on his or her own initiative, to investigate and prosecute

violations of the provisions of such section by persons not licensed

pursuant to this article and may impose a fine of up to one thousand

dollars for the first violation; two thousand dollars for a second such

violation; five thousand dollars for a third violation; and ten thousand

dollars for a fourth violation and each subsequent violation. The

attorney general, acting on behalf of the secretary of state, may

commence an action or proceeding in a court of competent jurisdiction to

obtain a judgment against such unlicensed person in an amount equal to

that imposed as a fine.

Fines for false alarms. 1. Notwithstanding any other

provision of law, a municipality may enact, adopt or enforce any

ordinance, resolution or regulation requiring any alarm system company

to pay for or be responsible for any fines, fees or other penalties

relative to false alarms only when the false alarm is attributed to a

deficiency in the alarm system or an error of the alarm system company

or central station. Nothing in this section shall prevent a municipality

from imposing any fine, fee or other penalties for a false alarm when

such false alarm is attributable to, or caused by, the property owner,

lessee, occupant or other person or persons.

2. An alarm company operator or an alarm agent shall not be liable for

civil penalties and fines assessed or imposed by a municipality for

false alarms not attributed to alarm company operator error, improper

installation of the alarm system by an alarm agent or an alarm company

operator, defective equipment provided or installed by an alarm agent or

an alarm company operator, defective equipment leased by an alarm

company operator, or equipment that was not deficient upon installation

or provision for use to the end-user but resulted in a deficiency due to

normal wear and tear.

Official acts used as evidence. The official acts of the

secretary of state and department shall be prima facie evidence of the

facts therein and shall be entitled to be received in evidence in all

actions at law and other legal proceedings in any court or before any

board, body or officer.

Disposition of moneys derived from operation of article.

Processing fees for the fingerprint search conducted by the division of

criminal justice services shall accompany the fingerprint cards and

shall be deposited to the credit of the general fund. All remaining

moneys derived from the operation of this article shall be deposited in

the business and licensing services account established pursuant to

section ninety-seven-y of the state finance law.

Separability clause. If any part or provision of this article

or the application thereof to any person or circumstance be adjudged

invalid by any court of competent jurisdiction, such judgment shall be

confined in its operation to the part, provision or application directly

involved in the controversy in which such judgment shall have been

rendered and shall not affect or impair the validity of the remainder of

this article or the application thereof to other persons or

circumstances and the legislature hereby declares that it would have

enacted this article or the remainder thereof had the invalidity of such

provision or application thereof been apparent.

Applicability. 1. The provisions of this article shall not be

construed to limit in any way the authority of a city with a population

of one million or more to enact, implement and continue to enforce local

laws and regulations governing home improvement contractors and their

agents or employees that were in effect prior to the effective date of

this article, or to enact, implement and enforce any amendments thereto

after the effective date of this article.

2. The provisions of this article shall govern notwithstanding any

other law to the contrary; provided, however, that local law shall

govern with respect to inspection of fire alarms by a fire marshall or

any other person designated under such local law; and provided, further,

that this article shall not be held to invalidate any provision of the

laws of this state or any subdivision thereof unless there is a direct

conflict between the provision of this article and the provision of such

law or unless such law is duplicative of this article, in which case

this article shall prevail, except as provided otherwise in subdivision

one of this section. Except as provided in subdivision one of this

section, no local law shall require any fee or license for the

installation, servicing or maintaining of security or fire alarm

systems, except that which is provided pursuant to this article.

Private investigator license. 1. The department of state shall

have the power to issue licenses to private investigators. Nothing in

this article shall prevent a private investigator licensed hereunder

from performing the services of a watch, guard or patrol agency or bail

enforcement agent as defined herein; however, a watch, guard or patrol

agency or bail enforcement agent may not perform the services of a

private investigator as defined herein.

2. No person, firm, company, partnership, limited liability company or

corporation shall engage in the business of private investigator or

advertise his, their or its business to be that of private investigator

notwithstanding the name or title used in describing such agency or

notwithstanding the fact that other functions and services may also be

performed for fee, hire or reward, without having first obtained from

the department of state a license so to do, as hereinafter provided, for

each bureau, agency, sub-agency, office and branch office to be owned,

conducted, managed or maintained by such person, firm, company,

partnership, limited liability company or corporation for the conduct of

such business.

3. No person, firm, company, partnership, limited liability company or

corporation shall engage in the business of furnishing or supplying for

fee, hire or any consideration or reward information as to the personal

character or activities of any person, firm, company, or corporation,

society or association, or any person or group of persons, or as to the

character or kind of the business and occupation of any person, firm,

company or corporation, or own or conduct or maintain a bureau or agency

for the above mentioned purposes, except exclusively as to the financial

rating, standing, and credit responsibility of persons, firms, companies

or corporations, or as to the personal habits and financial

responsibility of applicants for insurance, indemnity bonds or

commercial credit or of claimants under insurance policies, provided the

business so exempted does not embrace other activities as described in

section seventy-one of this article, or except where such information is

furnished or supplied by persons licensed under the provisions of

section twenty-four-a or subdivision three-b of section fifty of the

workers' compensation law or representing employers or groups of

employers insured under the workers' compensation law in the state

insurance fund, without having first obtained from the department of

state, as hereafter provided, a license so to do as private investigator

for each such bureau or agency and for each and every sub-agency, office

and branch office to be owned, conducted, managed or maintained by such

persons, firm, limited liability company, partnership or corporation for

the conduct of such business. Nothing contained in this section shall be

deemed to include the business of adjusters for insurance companies, nor

public adjusters licensed by the superintendent of financial services

under the insurance law of this state.

4. Any person, firm, company, partnership or corporation who violates

any provision of this section shall be guilty of a class A misdemeanor.

Bail enforcement agents and watch, guard or patrol agencies.

1. The department of state shall have the power to issue separate

licenses to bail enforcement agents and to watch, guard or patrol

agencies. Nothing in this article shall prevent a private investigator

licensed hereunder from performing the services of a watch, guard or

patrol agency or bail enforcement agent as defined in this article;

however, a watch, guard or patrol agency or bail enforcement agent may

not perform the services of a private investigator as defined in this

article.

2. No person, firm, company, partnership, limited liability company or

corporation shall engage in the business of bail enforcement agents or

the business of watch, guard or patrol agency, or advertise his, their

or its business to be that of bail enforcement agent or watch, guard or

patrol agency, notwithstanding the name or title used in describing such

agency or notwithstanding the fact that other functions and services may

also be performed for fee, hire or reward, without having first obtained

from the department of state a license so to do, as hereinafter

provided, for each bureau, agency, sub-agency, office and branch office

to be owned, conducted, managed or maintained by such person, firm,

company, partnership, limited liability company or corporation for the

conduct of such business.

3. Any person, firm, company, partnership or corporation who violates

any provision of this section shall be guilty of a class B misdemeanor.

Definitions. 1. "Private investigator" shall mean and include

the business of private investigator and shall also mean and include,

separately or collectively, the making for hire, reward or for any

consideration whatsoever, of any investigation, or investigations for

the purpose of obtaining information with reference to any of the

following matters, notwithstanding the fact that other functions and

services may also be performed for fee, hire or reward; crime or wrongs

done or threatened against the government of the United States of

America or any state or territory of the United States of America; the

identity, habits, conduct, movements, whereabouts, affiliations,

associations, transactions, reputation or character of any person, group

of persons, association, organization, society, other groups of persons,

firm or corporation; the credibility of witnesses or other persons; the

whereabouts of missing persons; the location or recovery of lost or

stolen property; the causes and origin of, or responsibility for fires,

or libels, or losses, or accidents, or damage or injuries to real or

personal property; or the affiliation, connection or relation of any

person, firm or corporation with any union, organization, society or

association, or with any official, member or representative thereof; or

with reference to any person or persons seeking employment in the place

of any person or persons who have quit work by reason of any strike; or

with reference to the conduct, honesty, efficiency, loyalty or

activities of employees, agents, contractors, and sub-contractors; or

the securing of evidence to be used before any authorized investigating

committee, board of award, board of arbitration, or in the trial of

civil or criminal cases. The foregoing shall not be deemed to include

the business of persons licensed by the industrial commissioner under

the provisions of section twenty-four-a or subdivision three-b of

section fifty of the workmen's compensation law or representing

employers or groups of employers insured under the workmen's

compensation law in the state insurance fund, nor persons engaged in the

business of adjusters for insurance companies nor public adjusters

licensed by the superintendent of financial services under the insurance

law of this state.

1-a. "Bail enforcement agent" shall mean and include only the business

of bail enforcement and shall also mean and include, separately or

collectively, the engaging in the business of enforcing the terms and

conditions of a person's release from custody on bail in a criminal

proceeding, including locating, apprehending and returning any such

person released from custody on bail who has failed to appear at any

stage of a criminal proceeding to answer the charge before the court in

which he may be prosecuted. The foregoing shall not be deemed to include

the business of persons licensed under the provisions of section

twenty-four-a or subdivision three-b of section fifty of the workers'

compensation law or representing employers or groups of employers

insured under the workers' compensation law in the state insurance fund,

nor persons engaged in the business of adjusters for insurance companies

nor public adjusters licensed by the superintendent of financial

services under the insurance law of this state or the business of

private investigator, watch, guard or patrol agency or security guard

company.

2. "Watch, guard or patrol agency" shall mean and include the business

of watch, guard or patrol agency and shall also mean and include,

separately or collectively, the furnishing, for hire or reward, of

watchmen or guards or private patrolmen or other persons to protect

persons or property or to prevent the theft or the unlawful taking of

goods, wares and merchandise, or to prevent the misappropriation or

concealment of goods, wares or merchandise, money, bonds, stocks, choses

in action, notes or other valuable documents, papers, and articles of

value, or to procure the return thereof or the performing of the service

of such guard or other person for any of said purposes. The foregoing

shall not be deemed to include the business of persons licensed by the

industrial commissioner under the provisions of section twenty-four-a or

subdivision three-b of section fifty of the workmen's compensation law

or representing employers or groups of employers insured under the

workmen's compensation law in the state insurance fund, nor persons

engaged in the business of adjusters for insurance companies nor public

adjusters licensed by the superintendent of financial services under the

insurance law of this state.

3. The term the "business of private investigator," and the term

"private investigator" shall mean and include any person, firm, limited

liability company, partnership or corporation engaged in the business of

private investigator as defined in subdivision one of this section with

or without the assistance of any employee or employees. The term

"business of watch, guard or patrol agency" and the term "watch, guard

or patrol agency" shall mean and include any person, firm, limited

liability company, partnership or corporation engaged in the business of

watch, guard or patrol agency as defined in subdivision two of this

section or the business of a security guard company as defined in

subdivision five of section eighty-nine-f of this chapter with or

without the assistance of any employee or employees. For the purposes of

this article, a public entity as defined in subdivision seven of section

eighty-nine-f of this chapter or a security guard company which utilizes

security guards solely for its own proprietary use shall not be deemed a

security guard company.

4. The term "business of bail enforcement agent" and the term "bail

enforcement agent" shall mean and include any person, firm, company,

partnership or corporation engaged in the business of bail enforcement

as defined in subdivision one-a of this section with or without the

assistance of any employee or employees.

Application for licenses. Any person, firm, partnership, limited

liability company or corporation intending to conduct the business of

private investigator, business of bail enforcement agent or the business

of watch, guard or patrol agency, and any person, firm, partnership,

limited liability company or corporation intending to conduct the

business of furnishing or supplying information as to the personal

character of any person or firm, or as to the character or kind of the

business and occupation of any person, firm or corporation, society or

association or any person or group of persons, or intending to own,

conduct, manage or maintain a bureau or agency for the above mentioned

purposes, or while engaged in other lawful business activities also

intending to engage in any one or more of the activities set forth in

section seventy-one of this article except exclusively as to the

financial rating, standing, and credit responsibility of persons, firms,

companies or corporations or as to personal habits and financial

responsibility of applicants for insurance indemnity bonds or commercial

credit or of claimants under insurance policies shall, for each such

bureau or agency and for each and every sub-agency, office and branch

office to be owned, conducted, managed or maintained by such person,

firm, partnership, limited liability company or corporation for the

conduct of such business, file in the office of the department of state

a written application, on forms provided by the department containing

such information and documentation, including fingerprints, as the

secretary of state may require by rule and regulation.

1. If the applicant is a person, the application shall be subscribed

by such person, and if the applicant is a firm or partnership the

application shall be subscribed by each individual composing or

intending to compose such firm or partnership. The application shall

state the full name, age, residences within the past three years,

present and previous occupations of each person or individual so signing

the same, and shall also specify the name of the city, town or village,

stating the street and number, if the premises have a street and number,

and otherwise such apt description as will reasonably indicate the

location thereof, where is to be located the principal place of business

and the bureau, agency, sub-agency, office or branch office for which

the license is desired, and such further facts as may be required by the

department of state to show the good character, competency and integrity

of each person or individual so signing such application. Each person or

individual signing such application shall, together with such

application, submit to the department of state, his photograph, taken

within six months prior thereto in duplicate, in passport size and also

two sets of fingerprints of his two hands recorded in such manner as may

be specified by the secretary of state or the secretary of state's

authorized representative. Before approving such application it shall be

the duty of the secretary of state or the secretary of state's

authorized representative to forward one copy of such fingerprints to

the division of criminal justice services. Upon receipt of such

fingerprints, such division shall forward to the secretary of state a

report with respect to the applicant's previous criminal history, if

any, or a statement that the applicant has no previous criminal history

according to its files. If additional copies of fingerprints are

required the applicant shall furnish them upon request. Such

fingerprints may be submitted to the federal bureau of investigation for

a national criminal history record check. The secretary shall reveal the

name of the applicant to the chief of police and the district attorney

of the applicant's residence and of the proposed place of business and

shall request of them a report concerning the applicant's character in

the event they shall have information concerning it. The secretary shall

take such other steps as may be necessary to investigate the honesty,

good character and integrity of each applicant. Every such applicant for

a license as private investigator shall establish to the satisfaction of

the secretary of state (a) if the applicant be a person, or, (b) in the

case of a firm, limited liability company, partnership or corporation,

at least one member of such firm, partnership, limited liability company

or corporation, has been regularly employed, for a period of not less

than three years, undertaking such investigations as those described as

performed by a private investigator in subdivision one of section

seventy-one of this article, as a sheriff, police officer in a city or

county police department, or the division of state police, investigator

in an agency of the state, county, or United States government, or

employee of a licensed private investigator, or has had an equivalent

position and experience or that such person or member was an employee of

a police department who rendered service therein as a police officer for

not less than twenty years or was an employee of a fire department who

rendered service therein as a fire marshal for not less than twenty

years. However, employment as a watchman, guard or private patrolman

shall not be considered employment as a "private investigator" for

purposes of this section. Every such applicant for a license as watch,

guard or patrol agency shall establish to the satisfaction of the

secretary of state (a) if the applicant be a person, or, (b) in the case

of a firm, limited liability company, partnership or corporation, at

least one member of such firm, partnership, limited liability company or

corporation, has been regularly employed, for a period of not less than

two years, performing such duties or providing such services as

described as those performed or furnished by a watch, guard or patrol

agency in subdivision two of section seventy-one of this article, as a

sheriff, police officer in a city or county police department, or

employee of an agency of the state, county or United States government,

or licensed private investigator or watch, guard or patrol agency, or

has had an equivalent position and experience; qualifying experience

shall have been completed within such period of time and at such time

prior to the filing of the application as shall be satisfactory to the

secretary of state. The person or member meeting the experience

requirement under this subdivision and the person responsible for the

operation and management of each bureau, agency, sub-agency, office or

branch office of the applicant shall provide sufficient proof of having

taken and passed a written examination prescribed by the secretary of

state to test their understanding of their rights, duties and powers as

a private investigator and/or watchman, guard or private patrolman,

depending upon the work to be performed under the license. In the case

of an application subscribed by a resident of the state of New York such

application shall be approved, as to each resident person or individual

so signing the same, but not less than five reputable citizens of the

community in which such applicant resides or transacts business, or in

which it is proposed to own, conduct, manage or maintain the bureau,

agency, sub-agency, office or branch office for which the license is

desired, each of whom shall subscribe and affirm as true, under the

penalties of perjury, that he has personally known the said person or

individual for a period of at least five years prior to the filing of

such application, that he has read such application and believes each of

the statements made therein to be true, that such person is honest, of

good character and competent, and not related or connected to the person

so certifying by blood or marriage. In the case of an application

subscribed by a non-resident of the state of New York such application

shall be approved, as to each non-resident person or individual so

signing the same by not less than five reputable citizens of the

community in which such applicant resides. The certificate of approval

shall be signed by such reputable citizens and duly verified and

acknowledged by them before an officer authorized to take oaths and

acknowledgment of deeds. All provisions of this section, applying to

corporations, shall also apply to joint-stock associations, except that

each such joint-stock association shall file a duly certified copy of

its certificate of organization in the place of the certified copy of

its certificate of incorporation herein required.

1-a. Every such applicant for a license as bail enforcement agent

shall establish to the satisfaction of the secretary of state (a) if the

applicant be a person, or (b) in the case of a firm, company,

partnership, or corporation, at least one member of such firm,

partnership, company or corporation, has been regularly employed, for a

period of not less than three years, performing such duties or providing

such services as described as those furnished by a bail enforcement

agent in section seventy-one of this article, as a sheriff, police

officer in a city or county police department, or the division of state

police, investigator in an agency of the state, county, or United States

government, or employee of a licensed private investigator, or has had

an equivalent position and experience or that such person or member was

an employee of a police department who rendered service therein as a

police officer for not less than twenty years or was an employee of a

fire department who rendered service therein as a fire marshal for not

less than twenty years.

1-b. The person or member meeting the experience requirement under

subdivisions one and one-a of this section and any person or member of

such firm, company, partnership or corporation who engages in the

apprehension and return of suspects who fail to appear before the court

must either satisfactorily complete a basic certification course in

training for bail enforcement agents offered by a provider that is

approved by the secretary of state; or such person or member must have

served as a police officer, as that term is defined in subdivision

thirty-four of section 1.20 of the criminal procedure law, for a period

of not less than three years.

The basic course of training shall include at least twenty-five hours

of training approved by the secretary of state and must include

instruction on issues involved with the rights and limitations involving

the bailee/fugitive who signs a contract with the bail enforcement

agent. Completion of the course shall be for educational purposes only

and not intended to confer the power of arrest of a peace officer or

public officer, or agent of any federal, state, or local government,

unless the person is so employed by a governmental agency.

2. If the applicant is a corporation, the application shall be

subscribed by the president, secretary, treasurer, and all other

officers and directors working for such corporation within the state of

New York, and shall specify the name of the corporation, the date and

place of its incorporation, the location of its principal place of

business, and the name of the city, town or village, stating the street

and number, if the premises have a street and number, and otherwise such

apt description as will reasonably indicate the location thereof, where

is to be located the bureau, agency, sub-agency, office or branch office

for which the license is desired, the amount of the corporation's

outstanding paid up capital stock and whether paid in cash or property,

and, if in property, the nature of the same, and shall be accompanied by

a duly certified copy of its certificate of incorporation. Each and

every requirement as to character of subdivision one of this section as

to a person or individual member of a firm or partnership shall apply to

the president, secretary, treasurer and all other officers and directors

working for such corporation within the state of New York and each such

officer and director, his successor and successors shall prior to

entering upon the discharge of his duties subscribe a like statement,

approved in like manner, as is by said subdivision one prescribed in the

case of a person or individual member of a firm or partnership.

3. Each person subscribing an application pursuant to this section

shall affirm that the statements therein are true under the penalties of

perjury.

4. The secretary of state may deny, suspend or revoke the license of a

corporation if, at any time, ten per centum or more of the corporate

stock is held by a person who cannot meet the character standard set for

an individual licensee.

Enforcement of article; investigations. 1. The secretary of

state shall have the power to enforce the provisions of this article and

article seven-A of this chapter and upon complaint of any person, or on

his own initiative, to investigate any violation thereof or to

investigate the business, business practices and business methods of any

person, firm, limited liability company, partnership or corporation

applying for or holding a license as a private investigator, bail

enforcement agent or watch, guard or patrol agency, if in the opinion of

the secretary of state such investigation is warranted. Each such

applicant or licensee shall be obliged, on request of the secretary of

state, to supply such information, books, papers or records as may be

required concerning his, their or its business, business practices or

business methods, or proposed business practices or methods. Failure to

comply with a lawful request of secretary shall be a ground for denying

an application for a license, or for revoking, suspending, or failing to

renew a license issued under this article.

2. For the purpose of enforcing the provisions of this article and

article seven-A of this chapter, and in making investigations relating

to any violation thereof, and for the purpose of investigating the

character, competency and integrity of the applicants or licensees

hereunder, and for the purpose of investigating the business, business

practices and business methods of any applicant or licensee, or of the

officers or agents thereof, the department of state, acting by such

officer or person in the department as the secretary of state may

designate, shall have the power to subpoena and bring before the officer

or person so designated any person in this state and require the

production of any books, records or papers which he deems relevant to

the inquiry and administer an oath to and take testimony of any person

or cause his deposition to be taken, except that any applicant or

licensee or officer or agent thereof shall not be entitled to fees

and/or mileage. A subpoena issued under this section shall be regulated

by the civil practice law and rules. Any person, duly subpoenaed, who

fails to obey such subpoena without reasonable cause or without such

cause refuses to be examined or to answer any legal or pertinent

question as to the character or qualification of such applicant or

licensee or such applicant's or licensee's business, business practices

and methods or such violations, shall be guilty of a misdemeanor. The

testimony of witnesses in any investigative proceeding shall be under

oath, which the secretary of state or one of his deputies, or a

subordinate of the department of state designated by the secretary of

state, may administer, and wilful false swearing in any such proceeding

shall be perjury.

3. Licensees hereunder must maintain such records as the secretary of

state by rule determines and in addition, the secretary may prescribe by

rule that further records be kept by certain classes of licensees.

Issuance of licenses; fee; bonds. 1. (a) The application shall

be accompanied by a non-refundable fee, payable to the department of

state for the use of the state, for each certificate of license, as

hereinbelow enumerated, issued to the applicant, if the applicant be an

individual, of four hundred dollars for a license as private

investigator or bail enforcement agent or a fee of three hundred dollars

for a license as watch, guard or patrol agency, or if the applicant be a

firm, partnership, limited liability company or corporation, a fee of

five hundred dollars for a license as private investigator or bail

enforcement agent or a fee of four hundred dollars for a license as

watch, guard or patrol agency.

(b) When the application shall have been examined and such further

inquiry and investigation made as the secretary of state shall deem

proper, and when the secretary of state shall be satisfied therefrom of

the good character, competency and integrity of such applicant, or, if

the applicant be a firm or partnership, the individual members thereof,

or if the applicant be a limited liability company, the individual

members thereof, or if the applicant be a corporation, the president,

secretary, treasurer and all other officers and all directors thereof,

and each stockholder owning ten per centum or more of the stock and a

period to ten days from the date of the filing of the application shall

have passed, the department of state shall issue and deliver to such

applicant a certificate of license to conduct such business and to own,

conduct or maintain a bureau, agency, sub-agency, office or branch

office for the conduct of such business on the premises stated in such

application upon the applicant's executing, delivering and filing in the

office of such department a surety company bond in the sum of ten

thousand dollars; provided however, that an applicant for a license as a

bail enforcement agent shall execute, deliver and file with the office

of such department a surety company bond in the sum of five hundred

thousand dollars, conditioned for the faithful and honest conduct of

such business by such applicant, which surety bond must be written by a

company recognized and approved by the superintendent of financial

services of the state, and approved by the department of state with

respect to its form, manner of execution and sufficiency provided,

further, however, before a license is issued to a non-resident the

applicant must file with the secretary of state a written consent to the

jurisdiction of the courts of New York (i) in any case or cases arising

from any contract for the performance of private investigative services

as private investigator, bail enforcement agent or watch, guard or

patrol agency, made within the state or to be performed, wholly or in

part, within the state or in any way connected with the conduct of

business within the state, and (ii) in any case or cases arising from

any tort occurring within the state or occurring in connection with the

business of the licensee within the state. The license as private

investigator, bail enforcement agent or watch, guard or patrol agency

granted pursuant to this article shall last for a period of two years,

but shall be revocable at all times by the department of state for cause

shown. Such bond shall be taken in the name of the people of the state

of New York, and any person injured by the violation of any of the

provisions of this article or by the wilful, malicious and wrongful act

of the principal or employee may bring an action against such principal,

employee or both on said bond in his own name to recover damages

suffered by reason of such wilful, malicious and wrongful act. In each

and every suit, or prosecution arising out of this article, the agency

of any employee as to the employment and as to acting in the course of

his employment, shall be presumed. The license certificate shall be in a

form to be prescribed by the secretary of state and shall specify the

full name of the applicant, the location of the principal office or

place of business and the location of the bureau, agency, sub-agency,

office or branch office for which the license is issued, the date on

which it is issued, the date on which it will expire and the names and

residences of the applicant or applicants filing the statement required

by section seventy-two of this article upon which the license is issued

and in the event of a change of any such address or residence the

department of state shall be duly notified in writing of such change

within twenty-four hours thereafter, and failure to give such

notification shall be sufficient cause for revocation of such license.

No such license as private investigator, bail enforcement agent or

watch, guard or patrol agency shall be issued to a person under the age

of twenty-five years.

(c) The secretary of state shall receive a non-refundable examination

fee of fifteen dollars from each person who takes an examination to

qualify for application for licensure pursuant to this article. Fees

paid to the department of state pursuant to this article shall be

deposited in the business and licensing services account established

pursuant to section ninety-seven-y of the state finance law.

2. Except as hereinafter in this subdivision provided, no such license

shall be issued to any person who has been convicted in this state or

any other state or territory of a felony, or any of the following

offenses, to wit: (a) illegally using, carrying or possessing a pistol

or other dangerous weapon; (b) making or possessing burglar's

instruments; (c) buying or receiving or criminally possessing stolen

property; (d) unlawful entry of a building; (e) aiding escape from

prison; (f) unlawfully possessing or distributing habit forming narcotic

drugs; (g) violating subdivision six of section seven hundred twenty-two

of the former penal law as in force and effect immediately prior to

September first, nineteen hundred sixty-seven, or violating section

165.25 or 165.30 of the penal law; (h) violating section seven hundred

forty-two, section seven hundred forty-three, or section seven hundred

forty-five of the said former penal law, or violating any section

contained in article two hundred fifty of the penal law. Except as

hereinafter in this subdivision provided, no license shall be issued to

any person whose license has been previously revoked by the department

of state or the authorities of any other state or territory because of

conviction of any of the offenses specified in this section. The

provisions of this subdivision shall not prevent the issuance of a

license to any person who, subsequent to his conviction, shall have

received executive pardon therefor removing this disability, or who has

received a certificate of relief from disabilities or a certificate of

good conduct pursuant to article twenty-three of the correction law to

remove the disability under this section because of such conviction or

previous license revocation occasioned thereby.

3. There shall be kept in the office of the department of state a

bulletin board, in a place accessible to the general public, on which

shall be posted at noon on Friday of each week the following: a

statement of all pending applications for licenses under this article,

giving the name of the applicant, and whether individual, firm, limited

liability company or corporation, and the proposed business address; a

similar statement of all such licenses issued during the preceding week;

a similar statement of all such licenses revoked during the preceding

week. No holder of an employment agency license shall be licensed under

this article. While holding a license under this article a licensee

shall not simultaneously hold an employment agency license or have

financial interest in or participate in the control and management of

any employment agency or any other person, firm, limited liability

company or corporation engaged in private detective business except that

a licensee hereunder may own or possess stock in any corporation whose

only business is to undertake for hire the preparation of payrolls and

the transportation of payrolls, moneys, securities and other valuables

or whose only business is to provide or furnish protective, guard or

private investigator service to: (a) the government of the United States

or any subdivision, department or agency of the government of the United

States, the government of the state of New York or any of its

subdivisions, departments, commissions or agencies; or (b) a corporation

created under or subject to the provisions of chapter four hundred forty

of the laws of nineteen hundred twenty-six or chapter two hundred

fifty-four of the laws of nineteen hundred forty. In the event of the

filing in the office of the department of state a verified statement of

objections to the issuance of a license under the provisions of this

article, no license shall be issued to such applicant until all

objections shall have been heard in a public hearing and a determination

made in a manner provided by section seventy-nine of this article.

4. For changing the name on a license or for changing the status of a

license, the secretary of state shall receive a non-refundable fee of

one hundred fifty dollars.

5. For changing the address on a license, the secretary of state shall

receive a non-refundable fee of ten dollars.

Notification. Prior to taking or attempting to take into

custody a person, a bail enforcement agent shall notify a local law

enforcement agency having jurisdiction over the area in which the person

is believed to be located of such bail enforcement agent's intentions.

The notification shall be provided on a form prescribed by the local law

enforcement agency. Notwithstanding, the form shall include information

including but not limited to name, address, local address and motor

vehicle registration of said agent. The local law enforcement agency in

prescribing such form may consult with the division of criminal justice

services. A representative of a local law enforcement agency may

accompany a bail enforcement agent when the bail enforcement agent

enters what is believed to be an occupied structure to search for or to

apprehend a person.

Posting and surrender of license certificate. Immediately upon

the receipt of the license certificate issued by the department of state

pursuant to this article, the licensee named therein shall cause such

license certificate to be posted up and at all times displayed in a

conspicuous place in the bureau, agency, sub-agency, office or branch

office for which it is issued, so that all persons visiting such place

may readily see the same. Such license certificate shall at all

reasonable times be subject to inspection by the secretary of state or

an authorized representative or representatives of the department of

state. It shall be unlawful for any person, firm, partnership, limited

liability company or corporation holding such license certificate to

post such certificate or to permit such certificate to be posted upon

premises other than those described therein or to which it has been

transferred pursuant to the provisions of this article, or knowingly to

alter, deface or destroy any such license certificate. Every license

certificate shall be surrendered to the department of state within

seventy-two hours after its terms shall have expired or after notice in

writing to the holder that such license has been revoked. Failure to

comply with any of the provisions of this section is a misdemeanor and

sufficient cause for the revocation of a license.

Certificate or pocket card lost or destroyed. If it shall be

established to the satisfaction of the secretary of state, in accordance

with rules and regulations of such department, that an unexpired license

certificate or pocket card, issued in accordance with the provisions of

this article, has been lost or destroyed without fault on the part of

the holder, such department shall issue a duplicate license certificate

or pocket card for the unexpired portion of the term of the original

license certificate. The secretary of state shall receive a

non-refundable fee of ten dollars for issuing a duplicate certificate of

license or identification card.

Removal of bureau, agency or office. If the holder of an

unexpired license certificate issued pursuant to this article shall

remove the bureau, agency, sub-agency, office or branch office to a

place other than that described in the license certificate, he shall,

within the twenty-four hours immediately following such removal, give

written notice of such removal to the department of state, which notice

shall describe the premises to which such removal is made and the date

on which it was made, and send such license certificate to such

department, at its office in the city of Albany, and such department

shall cause to be written or stamped across the face of such license

certificate a statement, signed by the secretary of state or an

authorized subordinate of the department of state, to the effect that

the holder of such license has removed, on the date stated in such

written notice, such bureau, agency, sub-agency, office or branch office

from the place originally described in such license certificate to the

place described in such written notice, and such license certificate

with the indorsement thereon shall then be returned to the licensee

named therein.

Renewal of licenses. A license granted under the provisions of

this article may be renewed by the department of state upon application

therefor by the holder thereof, in such form as such department may

prescribe, accompanied by the non-refundable fee and surety bond each in

amounts equivalent to those specified in section seventy-four of this

article as pertaining to original licenses. The application shall be

filed six weeks before the expiration date of the license unless the

application is accompanied by a non-refundable late filing fee of one

hundred dollars. In no event will renewal be granted more than six

months after the date of expiration of a license. No person, firm,

limited liability company, partnership or corporation shall carry on any

business subject to this article during any period which may exist

between the date of expiration of a license and the renewal thereof.

Surrender of licenses. A license issued pursuant to this

article may not be surrendered nor may any licensee resign as such

licensee without the written approval of the secretary of state or any

deputy authorized to act for him.

Hearings, notice, determinations, review. 1. The department of

state shall have the power to revoke or suspend any license, or in lieu

thereof to impose a fine not exceeding one thousand dollars payable to

the department of state, or reprimand any licensee or deny an

application for a license or renewal thereof upon proof:

(a) that the applicant or licensee has violated any of the provisions

of this article or the rules and regulations promulgated hereunder;

(b) that the applicant or licensee has practiced fraud, deceit or

misrepresentation;

(c) that the applicant or licensee has made a material misstatement in

the application for or renewal of his license;

(d) that the applicant or licensee has demonstrated incompetence or

untrustworthiness in his actions;

(e) that the applicant or licensee has violated any of the provisions

of article seven-A of this chapter or the rules and regulations

promulgated thereunder.

2. The department of state shall, before denying an application for a

license or before revoking or suspending any license, excepting a

temporary suspension as provided in subdivision five of this section, or

imposing any fine or reprimand, and at least fifteen days prior to the

date set for the hearing, and upon due notice to the complainant or

objector, notify in writing the applicant for, or the holder of such

license of any charge made and shall afford said applicant, or licensee,

an opportunity to be heard in person or by counsel in reference thereto.

Such written notice may be served by delivery of same personally to the

applicant or licensee, or by mailing same by certified mail to the last

known business address of such applicant or licensee.

3. The hearing on such charges shall be at such time and place as the

department of state shall prescribe and shall be conducted by such

officer or person in the department as the secretary of state may

designate, who shall have the power to subpoena and bring before the

officer or person so designated any person in this state, and administer

an oath to and take testimony of any person or cause his deposition to

be taken. A subpoena issued under this section shall be regulated by the

civil practice law and rules. Such officer or person in the department

of state designated to take such testimony shall not be bound by common

law or statutory rules of evidence or by technical or formal rules of

procedure.

4. In the event that the department shall deny the application for, or

revoke or suspend any such license, or impose any fine or reprimand, its

determination shall be in writing and officially signed. The original of

such determination, when so signed, shall be filed in the office of the

department and copies thereof shall be mailed to the applicant or

licensee and to the complainant within two days after the filing thereof

as herein prescribed.

5. The department, acting by the officer or person designated to

conduct the hearing pursuant to subdivision three above or by such other

officer or person in the department as the secretary of state may

designate, shall have the power to suspend the license of any licensee

who has been convicted in this state or any other state or territory of

a felony or of any misdemeanor or offense enumerated under subdivision

two of section seventy-four or under section eighty-four of this chapter

for a period not exceeding thirty days pending a hearing and a

determination of charges made against him. If such hearing is adjourned

at the request of the licensee, or by reason of any act or omission by

him or on his behalf, such suspension may be continued for the

additional period of such adjournment.

6. The action of the department of state in granting or refusing to

grant or to renew a license under this article or in revoking or

suspending or refusing to revoke or suspend such a license or imposing

any fine or reprimand shall be subject to review by a proceeding

instituted under article seventy-eight of the civil practice law and

rules at the instance of the applicant for such license, the holder of a

license so revoked, suspended, fined or reprimanded or the person

aggrieved.

License certificates, pocket cards or badges. Upon the issuing

of a license as hereinbefore provided the department of state shall

issue to each person, partner, member of a limited liability company or

officer of a corporation making and filing a statement required by

section seventy-two of this article a pocket card of such size and

design as the department of state may prescribe, which card shall

contain a photograph of the licensee, the name and business address of

the licensee and the imprint or impress of the seal of the department of

state which pocket card shall be evidence of due authorization pursuant

to the terms of this article. All persons to whom such license

certificates or pocket cards shall have been issued shall be responsible

for the safe keeping of the same, and shall not lend, enable, let or

allow any other person to have, hold, use or display such certificate or

pocket card; and any person so parting with such a license certificate

or pocket card or displaying the same without authority, or who shall

display any license certificate or pocket card purporting to authorize

the holder thereof to act as a private investigator, bail enforcement

agent or watch, guard or patrol agency, unless the same shall have been

duly issued pursuant to the provisions of this article, shall be guilty

of a misdemeanor. Failure to comply with the provisions of this section

shall be sufficient cause for revocation of such license, and all such

certificates or pocket cards shall be returned to the department of

state within seventy-two hours after the holder thereof has received

notice in writing of the expiration or revocation of such license. It

shall be unlawful for a holder of a license or anyone else to

distribute, possess, use or display any license certificate, pocket

card, badge, shield or any other indicia of a license status pursuant to

this article except as set forth in this article. Any person who is a

licensee hereunder or an officer or authorized employee of any other

person, firm, limited liability company or corporation, whether or not

licensed hereunder, while performing the services of a watchman, guard

or private patrolman, may wear on his outer clothing a rectangular metal

or woven insignia approved by the department of state, which insignia

shall not be larger than three inches high nor four inches wide with an

inscription thereon containing the word "watchman", "guard", "patrol" or

"special service" and the name of such licensee or employer. It shall be

unlawful for any employer, whether or not licensed hereunder, to wear or

distribute to his, their or its employees any employment identification

except as authorized in this article and approved by the secretary of

state. Any person violating any provision of this section shall be

guilty of a misdemeanor.

Employees. 1. The holder of any license certificate issued

pursuant to this article may employ to assist him in his work of private

detective or investigator or bail enforcement agent as described in

section seventy-one of this article and in the conduct of such business

as many persons as he may deem necessary, and shall at all times during

such employment be legally responsible for the good conduct in the

business of each and every person so employed.

No holder of any unexpired license certificate issued pursuant to this

article shall knowingly employ in connection with his or its business in

any capacity whatsoever, any person who has been convicted of a felony

or any of the offenses specified in subdivision two of section

seventy-four of this article, and who has not subsequent to such

conviction received executive pardon therefor removing this disability,

or received a certificate of relief from disabilities or a certificate

of good conduct pursuant to article twenty-three of the correction law

to remove the disability under this section because of such a

conviction, or any person whose private detective or investigator's

license or bail enforcement agent's license was revoked or application

for such license was denied by the department of state or by the

authorities of any other state or territory because of conviction of any

of such offenses. Should the holder of an unexpired license certificate

falsely state or represent that a person is or has been in his employ,

such false statement or misrepresentation shall be sufficient cause for

the revocation of such license. Any person falsely stating or

representing that he is or has been a detective or employed by a

detective agency or that he is or has been a bail enforcement agent or

employed by a bail enforcement agency shall be guilty of a misdemeanor.

2. No person shall hereafter be employed by any holder of a license

certificate until he shall have executed and furnished to such license

certificate holder a verified statement, to be known as "employee's

statement," setting forth:

(a) His full name, age and residence address.

(b) The business or occupation engaged in for the three years

immediately preceding the date of the filing of the statement, setting

forth the place or places where such business or occupation was engaged

in, and the name or names of employers, if any.

(c) That he has not been convicted of a felony or of any offense

involving moral turpitude or of any of the misdemeanors or offenses

described in subdivision one of this section.

(d) Such further information as the department of state may by rule

require to show the good character, competency, and integrity of the

person executing the statement.

3. Immediately upon the verification of an employee's statement, the

holder of a license certificate by whom such person has been or is to be

employed shall cause two sets of fingerprints of the two hands of such

person to be recorded in such manner as the department of state may by

rule prescribe. The holder of a license certificate shall immediately

stamp in indelible ink the employee's statement and each set of

fingerprints with the name, year and license certificate number of such

holder and a number, which number shall be determined by the number of

such statements furnished to such holder and shall be in numerical

sequence.

4. The holder of a license certificate shall affix one set of such

fingerprints to the employee's statement in such manner that the prints

can be examined without disclosing the contents of the employee's

statement and shall retain such statement and prints so long as he shall

be licensed under this article by the department of state.

5. The holder of a license certificate shall file the other set of

fingerprints with the department of state by forwarding the same by

registered mail to the office of the secretary of state, Albany, New

York, within twenty-four hours of such employment.

6. Within five days after the filing of such fingerprints the

secretary of state shall cause such fingerprints to be compared with

fingerprints filed with the division of criminal justice services and,

if he finds any record of any conviction as defined in the criminal

procedure law of a felony or any other offense specified in subdivision

one of this section, he shall immediately notify the holder of such

license certificate and shall also refer the matter to the

attorney-general. The secretary of state may also submit fingerprints to

the federal bureau of investigation for a national criminal history

record check and may, from time to time, cause such fingerprints to be

checked against the fingerprints filed with the division of criminal

justice services or of other official fingerprint files within or

without this state, and if he finds that such person has been convicted

of a felony or any other offense specified in subdivision one of this

section he shall immediately notify the holder of such license

certificate and shall also refer the matter to the attorney-general. The

secretary of state shall at all times be given access to and may from

time to time examine the fingerprints retained by the holder of a

license certificate as provided in subdivision four of this section.

7. If any holder of a certificate shall file with the department of

state the fingerprints of a person other than the person so employed, he

shall be subject to a fine not exceeding five thousand dollars ($5,000)

or to imprisonment not exceeding one year, or both.

8. The provisions of this section shall not be applicable to security

guards or the employment of security guards by licensees.

Employees not to divulge information or make false reports. Any

person who is or has been an employee of a holder of a license shall not

divulge to any one other than his employer, or as his employer shall

direct, except as he may be required by law, any information acquired by

him during such employment in respect of any of the work to which he

shall have been assigned by such employer. Any such employee violating

the provisions of this section and any such employee who shall wilfully

make a false report to his employer in respect of any of such work,

shall be guilty of a misdemeanor. The employer of any employee believed

to have violated this section shall without any liability whatsoever

upon said employer supply the secretary of state or such officer or

person in the department of state as the secretary of state may

designate, all the known facts and circumstances in connection with the

said employee's transaction or performance or action believed to be in

violation of this article and the secretary of state or his authorized

representative shall, should the facts and circumstances be deemed to

warrant, conduct further investigation and submit the evidence thus

acquired to the attorney-general of the state for appropriate action in

accordance with the provisions of section eighty-five of this chapter.

Application of article. Nothing in this article shall apply to

any detective or officer belonging to the police force of the state, or

any county, city, town or village thereof, appointed or elected by due

authority of law, or to any person in the employ of any police force or

police department of the state, or of any county, city, town or village

thereof while engaged in the performance of their official duties; nor

to any person, firm, limited liability company, partnership,

corporation, or any bureau or agency, whose business is exclusively the

furnishing of information as to the business and financial standing, and

credit responsibility of persons, firms, or corporations, or as to the

personal habits and financial responsibility of applicants for

insurance, indemnity bonds or commercial credit or of claimants under

insurance policies, nor to any person licensed as a certified public

accountant while engaged in the practice of public accountancy as

defined in article one hundred forty-nine of the education law or any

firm, limited liability company, partnership or corporation registered

as a certified public accounting firm by the commissioner of education

while performing services regulated under article one hundred forty-nine

of the education law or Part 70 of the regulations of the commissioner

of education; and whose business does not embrace other activities

described in section seventy-one of this article; or whose business is

licensed by the commissioner of labor under the provisions of section

twenty-four-a or subdivision three-b of section fifty of the workers'

compensation law or whose business is representing employers or groups

of employers insured under the workers' compensation law in the state

insurance fund; nor to any corporation duly authorized by the state to

operate a central burglar or fire alarm protection business; nor to any

person while engaged in the business of adjuster for an insurance

company nor to any public adjuster licensed by the superintendent of

financial services under the insurance law nor to any person regularly

employed as special agent, detective or investigator exclusively by one

employer in connection with the affairs of that employer only nor to any

charitable or philanthropic society or association duly incorporated

under the laws of the state and which is organized and maintained for

the public good and not for private profit, nor shall anything in this

article contained be construed to affect in any way attorneys or

counselors at law in the regular practice of their profession, but such

exemption shall not enure to the benefit of any employee or

representative of such attorney or counselor at law who is not employed

solely, exclusively and regularly by such attorney or counselor at law.

No person, firm, limited liability company, partnership, corporation or

any bureau or agency exempted hereunder from the application of this

article shall perform any manner of private investigator, bail

enforcement agent or watch, guard or patrol agency service as described

in section seventy-one of this article, for any other person, firm,

limited liability company, partnership, corporation, bureau or agency

whether for fee, hire, reward, other compensation, remuneration, or

consideration or as an accommodation without fee, reward or remuneration

or by a reciprocal arrangement whereby such services are exchanged on

request of parties thereto. The commission of a single act prohibited by

this article shall constitute a violation thereof.

Nothing in this article shall be construed to affect or prohibit the

right of any person to form or become affiliated with or to continue as

a member of any union, association, society or organization of his own

choosing.

Unlawful acts. 1. It is unlawful for the holder of a license,

issued under this article, or for any employee of such licensee,

knowingly to commit any of the following acts within or without the

state of New York: to incite, encourage, or aid in the incitement or

encouragement of any person or persons who have become a party to any

strike, to do unlawful acts against the person or property of any one,

or to incite, stir up, create or aid in the inciting of discontent or

dissatisfaction among the employees of any person, firm, limited

liability company or corporation with the intention of having them

strike; to interfere or prevent lawful and peaceful picketing during

strikes; to interfere with, restrain, or coerce employees in the

exercise of their right to form, join or assist any labor organization

of their own choosing; to interfere or hinder the lawful or peaceful

collective bargaining between employees and employers; to pay, offer, or

give any money, gratuity, favor, consideration, or other thing of value,

directly or indirectly, to any person for any verbal or written report

of the lawful activities of employees in the exercise of their right of

self-organization, to form, join, or assist labor organizations and to

bargain collectively through representatives of their own choosing; to

advertise for, recruit, furnish or replace or offer to furnish or

replace for hire or reward, within or without the state of New York, any

help or labor, skilled or unskilled, or to furnish or offer to furnish

armed guards, other than armed guards theretofore regularly employed for

the protection of payrolls, property or premises, for service upon

property which is being operated in anticipation of or during the course

or existence of a strike, or furnish armed guards upon the highways, for

persons involved in labor disputes or to furnish or offer to furnish to

employers or their agents, any arms, munitions, tear gas implements, or

any other weapons; or to send letters or literature to employers

offering to eliminate labor unions or distribute or circulate any list

of members of a labor organization, or to advise any person of the

membership of an individual in a labor organization for the express

purpose of preventing those so listed or named from obtaining or

retaining employment. The violation of any of the provisions of this

section shall constitute a misdemeanor and shall be punishable by a fine

of not less than five hundred dollars, or one year's imprisonment or

both. It is unlawful for the holder of a license to collect or offer or

attempt to collect or directly or indirectly engage in the business of

collecting of debts or claims of any kind, excepting that the taking

possession, on behalf of a secured party having the right to do so under

section 9--609 of the uniform commercial code, of property in the

possession of a debtor who has defaulted in the performance of a

security agreement secured by such property, shall not be considered a

violation of this section and excepting further that the secretary of

state may grant exemption from this prohibition in the collection of

debts to licensees who are principally engaged in the business of credit

investigation and credit reporting. It is unlawful for the holder of a

license to furnish or perform any services described in subdivisions one

and two of section seventy-one of this article on a contingent or

percentage basis or to make or enter into any agreement for furnishing

services of any kind or character, by the terms or conditions of which

agreement the compensation to be paid for such services to the holder of

a license is partially or wholly contingent or based upon a percentage

of the amount of money or property recovered or dependent in any way

upon the result achieved. It shall be unlawful for a holder of a license

to use, display, cause to be printed or distributed, cards,

letter-heads, circulars, brochures or any other advertising material or

advertisement in which any name or indicia of the license status of the

licensee is set forth in any manner other than the name under which the

licensee is duly licensed. It is unlawful for a licensed private

investigator or bail enforcement agent to own, have or possess or in any

manner to wear, exhibit or display, a shield or badge of any material,

kind, nature or description, in the performance of any of the activities

as private investigator or bail enforcement agent, as distinguished from

watch, guard or patrol agency, under this article. It is unlawful for a

licensed private investigator or bail enforcement agent to issue to any

person employed by such licensee, a badge or shield of any material,

kind, nature or description, and it is unlawful for any person employed

by such licensee to possess, carry or display a badge or shield of any

description provided that any licensed private investigator or bail

enforcement agent who also engages in the business of watch, guard or

patrol agency may possess, use or display or issue to employees in the

conduct of such business, a rectangular metal or woven insignia to be

worn on the outer clothing and approved by the department of state,

which insignia shall not be larger than three inches high or four inches

wide with an inscription thereon containing the word "watchman",

"guard", "patrol" or "special service" and the name of the licensee. It

shall be unlawful for any licensee to publish or cause to be published

any advertisement, letter-head, circular, statement or phrase of any

sort which suggests that the licensee is an official police or

investigative agency or any other agency instrumentality of the state of

New York or any of its political subdivisions. It shall be unlawful for

any licensee to make any statement which would reasonably cause another

person to believe that the licensee is a police officer or official

investigator of the state of New York or any of its political

subdivisions. It shall be unlawful for a licensee to offer, by radio,

television, newspaper advertisement or any other means of communication,

to perform services at any location which is merely the location of a

telephone answer service unless full disclosure of that fact is made in

the advertisement.

2. Notwithstanding any inconsistent provision of subdivision one of

this section, a private investigator may contract with a local social

services district to furnish or perform services for the location of

absent parents and fathers of children born out of wedlock on a

contingent basis.

Prosecution. Criminal action for violation of this article shall

be prosecuted by the attorney general, his or her deputy, or a district

attorney, in the name of the people of the state. In any such

prosecution the attorney general, or his or her deputy, shall exercise

all the powers and perform all duties which the district attorney would

otherwise be authorized to exercise or to perform therein. The attorney

general or a district attorney shall, upon a conviction for a violation

of any provision of this article and within ten days thereafter, make

and file with the department of state a detailed report showing the date

of such conviction, the name of the person convicted and the nature of

the charge.

Reward may be presumed. In any prosecution under this article

any person, firm, limited liability company, partnership or corporation

who performs or commits any of the acts set forth in sections seventy

and seventy-one of this article shall be presumed to do so for a fee,

compensation, valuable consideration or reward.

Department of state to employ agents; expenses for enforcement

of law. The department of state is hereby authorized to employ such

agent or agents as the secretary of state may deem necessary to enable

the department of state to carry out the provisions of this article and

to enforce compliance therewith.

Roster of licensees. The department of state shall publish at

least once in each year, a roster of the names and addresses of all

persons, firms, limited liability companies and corporations licensed

under the provisions of this article. A copy of each roster issued by

the department of state shall be mailed by it to any licensee upon

request and without charge.

Inspection by industrial commissioner. All applications, papers

and records on file in the department of state in connection therewith

shall at all times be open for the inspection of the industrial

commissioner of the department of labor and the persons in charge

thereof shall afford every reasonable facility for their examination and

permit copies to be made when required by the industrial commissioner.

Disposition of fees and other revenue. All fees and other

moneys derived from the operation of this article shall on the fifth day

of each month be paid by the department of state into the state

treasury.

Short title. This article shall be known and may be cited as

the "security guard act of nineteen hundred ninety-two".

Definitions. As used in this article, the following words and

phrases shall have the following meanings:

1. "Commissioner" shall mean the commissioner of the division of

criminal justice services.

2. "Division" shall mean the division of criminal justice services.

3. "Secretary" shall mean the secretary of state.

4. "Department" shall mean the department of state.

5. "Security guard company" shall mean any person, firm, limited

liability company, corporation, public entity or subsidiary or

department of such firm, limited liability company, corporation or

public entity employing one or more security guards or being

self-employed as a security guard on either a proprietary basis for its

own use or on a contractual basis for use by another person, firm,

limited liability company, corporation, public entity or subsidiary

thereof within the state.

6. "Security guard" shall mean a person, other than a police officer,

employed by a security guard company to principally perform one or more

of the following functions within the state:

a. protection of individuals and/or property from harm, theft or other

unlawful activity;

b. deterrence, observation, detection and/or reporting of incidents in

order to prevent any unlawful or unauthorized activity including but not

limited to unlawful or unauthorized intrusion or entry, larceny,

vandalism, abuse, arson or trespass on property;

c. street patrol service;

d. response to but not installation or service of a security system

alarm installed and/or used to prevent or detect unauthorized intrusion,

robbery, burglary, theft, pilferage and other losses and/or to maintain

security of a protected premises.

Provided, however, that a security guard who is otherwise subject to

regulation with respect to registration and training by the federal

government in the performance of their duties, or a security guard

providing such services on a voluntary basis, shall not be subject to

the provisions of this article.

7. "Public entity" shall mean:

a. the state of New York;

b. a county, city, town, village or any other political subdivision or

civil department or division of the state;

c. any other public corporation, public authority, commission, agency,

municipal or other public housing authority, or project organized

pursuant to article two of the private housing finance law;

d. any other governmental instrumentality or governmental unit in the

state of New York.

8. "Security system" shall mean an assembly of equipment and devices

or a single device designated to detect and/or signal an unauthorized

intrusion into premises or to signal an attempted robbery, burglary,

theft, pilferage or other loss at a protected premises, and with respect

to which signal, police and/or security guards are expected to respond.

Smoke and/or fire alarm systems are excluded from the provisions of this

article.

9. "Applicant" shall mean an individual who has filed an application

with the department for a security guard registration card.

10. "Holder" shall mean an individual who has been issued a

registration card by the department.

11. "Registration card" shall mean a photographic identification card

issued by the department, including a special armed guard registration

card signifying that the individual identified thereon has been

authorized by the department to perform security guard functions.

12. "Special armed guard registration card" shall mean a registration

card issued by the department signifying that the individual thereon has

been certified by the department to perform security guard functions and

to carry firearms in connection with such functions. Nothing herein

contained shall relieve such guard from any provision of law which

requires that he or she be licensed to carry such firearm.

13. "Serious offense" shall mean any felony involving the offenses

enumerated in the closing paragraph of this subdivision; a criminal

solicitation of or a conspiracy to commit or an attempt to commit or a

criminal facilitation of a felony involving the offenses enumerated in

the closing paragraph of this subdivision, which criminal solicitation,

conspiracy, attempt or criminal facilitation itself constitutes a felony

or any offense in any other jurisdiction which if committed in this

state would constitute a felony; any offense in any other jurisdiction

which if committed in this state would constitute a felony provided that

for the purposes of this article, none of the following shall be

considered criminal convictions or reported as such: (i) a conviction

for which an executive pardon has been issued pursuant to the executive

law; (ii) a conviction which has been vacated and replaced by a youthful

offender finding pursuant to article seven hundred twenty of the

criminal procedure law, or the applicable provisions of law of any other

jurisdiction; or (iii) a conviction the records of which have been

sealed pursuant to the applicable provisions of the laws of this state

or of any other jurisdiction; and (iv) a conviction for which other

evidence of successful rehabilitation to remove the disability has been

issued.

Felonies involving: assault, aggravated assault and reckless

endangerment pursuant to article one hundred twenty; vehicular

manslaughter, manslaughter and murder pursuant to article one hundred

twenty-five; sex offenses pursuant to article one hundred thirty;

unlawful imprisonment, kidnapping or coercion pursuant to article one

hundred thirty-five; criminal trespass and burglary pursuant to article

one hundred forty; criminal mischief, criminal tampering and tampering

with a consumer product pursuant to article one hundred forty-five;

arson pursuant to article one hundred fifty; larceny and offenses

involving theft pursuant to article one hundred fifty-five; offenses

involving computers pursuant to article one hundred fifty-six; robbery

pursuant to article one hundred sixty; criminal possession of stolen

property pursuant to article one hundred sixty-five; forgery and related

offenses pursuant to article one hundred seventy; involving false

written statements pursuant to article one hundred seventy-five;

commercial bribing and commercial bribe receiving pursuant to article

one hundred eighty; criminal impersonation and scheme to defraud

pursuant to article one hundred ninety; bribery involving public

servants and related offenses pursuant to article two hundred; perjury

and related offenses pursuant to article two hundred ten; tampering with

a witness, intimidating a victim or witness and tampering with physical

evidence pursuant to article two hundred fifteen; criminal possession of

a controlled substance pursuant to sections 220.06, 220.09, 220.16,

220.18 and 220.21; criminal sale of a controlled substance pursuant to

sections 220.31, 220.34, 220.39, 220.41, 220.43 and 220.44; criminal

sale of cannabis pursuant to sections 222.55, 222.60 and 222.65; riot in

the first degree, aggravated harassment in the first degree, criminal

nuisance in the first degree and falsely reporting an incident in the

second or first degree pursuant to article two hundred forty; and crimes

against public safety pursuant to article two hundred sixty-five of the

penal law.

14. "Peace officer" shall mean a peace officer as defined by

subdivision thirty-three of section 1.20 of the criminal procedure law,

who is employed full-time as a peace officer and who has successfully

completed the training requirements as set forth in subdivision one of

section 2.30 of such law.

15. "Police officer" shall mean a police officer as defined by

subdivision thirty-four of section 1.20 of the criminal procedure law.

Employment of security guards. 1. Except as provided in this

section and section eighty-nine-w of this article, no security guard

company shall knowingly employ a person as a security guard and no

person shall be employed as a security guard or act as a security guard

unless:

a. The security guard company has verified with the department that

such person possesses a valid registration card which has not expired or

been revoked or suspended; or

b. Such security guard company has filed with the department in a

manner prescribed by rules and regulations promulgated by the

department, by certified mail:

(i) An application for a registration card completed and sworn to by

such person pursuant to subdivision one of section eighty-nine-h of this

article;

(ii) A certification by the security guard company that it has

exercised due diligence to verify as true the information contained in

such person's application;

(iii) A certification that such person has completed the preassignment

training required by subdivision two of section eighty-nine-h of this

article;

(iv) Two photographs of such person taken within thirty days prior to

the filing of the application of a size prescribed by the secretary and

two sets of fingerprints of such person. The fingerprints shall be taken

on a standard fingerprint card approved by the division; and

(v) The fees prescribed by subdivision ten of section eighty-nine-h of

this article.

2. It shall be incumbent upon each security guard company to exercise

due diligence in verifying that the information contained in every

application for a registration card it files with the department is true

provided, however, the secretary shall, upon consultation with the

security guard advisory council, promulgate rules and regulations to

specify the minimum due diligence required to be exercised by such

companies in order to verify the information required pursuant to

subdivisions five and seven of section eighty-nine-h of this article.

3. Except as provided in section seven hundred fifty-two of the

correction law, no security guard company shall knowingly employ to

perform security guard functions, any individual:

a. who has been convicted of a serious offense, or of a misdemeanor in

the state or of any offense in any other jurisdiction which, if

committed in this state, would constitute a misdemeanor, and which, in

the discretion of the secretary, bears such a relationship to the

performance of the duties of a security guard, as to constitute a bar to

employment; or

b. who in any jurisdiction has been denied authorization to perform

security guard functions or whose authorization to perform security

guard functions has been suspended or revoked on grounds which would

constitute a basis for denying, suspending or revoking a registration

card in this state.

4. For each security guard employed by a security guard company as of

the effective date of this section such security guard company shall at

a time assigned by the secretary, pursuant to a staggered schedule,

comply with the provisions of paragraphs a and b of subdivision one of

this section and the provisions of section eighty-nine-n of this

article. Until the assigned filing date, such security guard company may

continue to employ such person to perform security guard functions. No

security guard company may employ such person after the assigned filing

date which has not complied with the provisions of paragraphs a and b of

subdivision one of this section with respect to such person.

5. Within fifteen calendar days following the employment, retirement,

resignation or termination of a security guard by a security guard

company, such company shall give the department written notice thereof

on a form prescribed by the department.

6. Insurance requirements. All security guard companies which are

self-insured shall file with the department a certificate of insurance

evidencing comprehensive general liability coverage from an insurance

company licensed to do business in this state or procured by a duly

licensed excess line broker pursuant to section two thousand one hundred

eighteen of the insurance law for death and personal injury, which

coverage shall include false arrest or false imprisonment, malicious

prosecution, libel, slander, and violation of right of privacy, in the

minimum amount of one hundred thousand dollars per occurrence and three

hundred thousand dollars in the aggregate which amount shall be

available for the payment of claims. The certificate shall provide that

the insurance shall not be modified or cancelled unless thirty days

prior notice shall be given to the department. After the effective date

of this article, no security guard company shall knowingly have in its

employ a security guard unless such coverage is in force and such

certificate is filed with the department.

7. Every security guard company shall maintain for each security guard

it employs, and for a period of one year following the retirement,

resignation or termination of such security guard's employment a copy of

the application for a registration card, proof of due diligence to

verify the information therein contained, one photograph and training

records, after which year the security guard company shall cause all

such records and documents to be destroyed.

8. All security guard companies, except those security guard companies

which employ such guards solely for their own proprietary use, shall be

subject to the enforcement provisions contained in article seven of this

chapter; provided, however, that whenever the secretary of state shall

have reason to believe that any security guard company has hired or

intends to hire an unlicensed security guard in violation of this

article, the secretary may bring an action in supreme court to enjoin

the employment of unlicensed security guards in violation of this

article or for an order directing the security guard company to remedy

the violation.

9. No registered security guard shall accept or continue in employment

with a security guard company upon notice of determination from the

department that such employer has (a) violated the provisions of this

article or the rules and regulations promulgated pursuant thereto, or

(b) has engaged in fraud, deceit or misrepresentation.

10. All security guard companies shall maintain books and records of

employees who are security guards and shall, upon request, make such

books and records available to the secretary of state.

Requirements for a registration card. To qualify for a

registration card to perform security guard functions, an applicant

shall fulfill the following requirements:

1. Application: file an application with the department sworn to or

affirmed by the applicant in such form and including such information

and attachments as may be prescribed or requested by the department upon

consultation with the security guard advisory council including but not

limited to the character and fitness, competence and employment history

of the applicant;

2. Training: file a certificate with the department certifying either

that the applicant has satisfactorily completed a minimum of eight hours

of pre-assignment training as prescribed by the division or that such

requirement has been waived in accordance with section eight hundred

forty-one-c of the executive law;

3. Age: be at least eighteen years of age;

5. Criminal record: not have been convicted of a serious offense, or

of a misdemeanor in the state or of any offense in any other

jurisdiction which, if committed in this state, would constitute a

misdemeanor, and which, in the discretion of the secretary, bears such a

relationship to the performance of the duties of a security guard, as to

constitute a bar to employment;

6. Character and fitness: be of good moral character and fitness;

7. Competence: not have been declared by any court of competent

jurisdiction to be incompetent by reason of mental disease or defect

which has not been removed;

8. Employment history: not have been discharged from a correctional or

law enforcement agency for incompetence or misconduct as determined by a

court of competent jurisdiction, administrative hearing officer,

administrative law judge, arbitrator, arbitration panel or other duly

constituted tribunal, or resigned from such agency while charged with

misconduct or incompetence; provided however, that an applicant who has

been discharged or has resigned from such agency while charged with

misconduct or incompetency may submit an explanation to the department

and request a waiver of this requirement;

9. Disability: a physical or mental disability or disability by reason

of intoxication or the use of, addiction to or dependence on alcohol or

drugs which, as determined by the department, renders the applicant

unable to perform the essential functions of the security guard

position, with or without reasonable accommodation, or who, as

determined by the department, poses a direct threat to health or safety;

10. Fees: pay (a) a fee of thirty-six dollars for processing of the

application, investigation of the applicant and for the initial biennial

registration period. Such fees shall be deposited to the credit of the

business and licensing services account established pursuant to the

provisions of section ninety-seven-y of the state finance law; and (b) a

fee pursuant to subdivision eight-a of section eight hundred

thirty-seven of the executive law, and amendments thereto, for the cost

of the division's full search and retain procedures, and a fee as

determined by the federal bureau of investigation for the cost of its

fingerprint search procedures, which fees shall be remitted by the

department to the division and federal bureau of investigation; and

11. Changes: give the department written notice, within fourteen

calendar days of occurrence, of any change of circumstances which varies

from the information previously given to the department hereunder.

Investigation. Within five business days after receipt of an

application, the department shall transmit to the division two sets of

fingerprints and the fees required pursuant to paragraph (b) of

subdivision ten of section eighty-nine-h of this article. One set of

fingerprints and the required fee shall be submitted to the federal

bureau of investigation for a national criminal history record check.

The results will be used to ascertain whether or not the applicant has

been charged with or convicted of a serious offense and may cause to be

conducted an investigation to verify the information contained in the

application; provided, however, that the department shall cause such

investigation to be conducted for applicants whose application has not

been submitted and verified pursuant to section eighty-nine-g of this

article. The department, in consultation with the division, may waive

such background checks, investigations and fees if in its opinion, the

security guard applicant has been subject to previous background checks

and investigation requirements which meet or exceed the requirements of

this section. The department, in consultation with the division, may not

be required to conduct background checks or investigations for

applicants who are also employed as peace officers.

Security guard registry. The department shall pursuant to

section ninety-nine of the executive law maintain a computerized

registry.

Issuance and denial of registration cards. 1. Requirements of

registration cards. Unless the department determines that the applicant

does not meet the requirements of section eighty-nine-h of this article

or is unable to perform security guard functions, it shall issue a

registration card in a form prescribed by the department, which shall

include, among other information, the expiration date of such card and

any renewal thereof, authorizing the applicant to perform security guard

functions. If the department determines that an applicant does not meet

the requirements of section eighty-nine-h of this article, it shall deny

the application for a registration card. Upon issuance of the

registration card or denial of the application therefor, the department

shall forthwith give notice of such issuance or denial to such applicant

and to the security guard company which employs such applicant, by

regular mail.

2. Administrative review. Denial of a registration card hereunder

shall be reviewable by an administrative hearing as set forth in

subdivisions two, three, four and five of section seventy-nine of this

chapter.

Suspension, revocation and reissuance of registration cards.

1. Revocations and suspensions. The secretary or any person deputized by

the secretary may suspend for a period not to exceed eighteen months or

revoke any registration card issued pursuant to this article after a

hearing pursuant to this section, except that, where revocation is

sought based solely upon the holder having been convicted of a serious

offense, the secretary shall provide notice to the holder, at the

holder's registration address as maintained by the department, that the

holder's registration card will be revoked on a date certain, but not

less than thirty-five days after the date of the notice, unless the

holder requests an administrative hearing pursuant to this section

within said thirty-five day period.

2. Causes for revocation or suspension. A registration card issued

pursuant to this article may be suspended or revoked for one or more of

the following causes:

a. the holder is convicted of a serious offense, or of a misdemeanor

in the state which, in the discretion of the secretary, bears such a

relationship to the performance of the duties of a security guard, as to

constitute a bar to employment;

b. the application contained a material false statement or omission

the truth or inclusion of which would have resulted in denial of the

application pursuant to section eighty-nine-k of this article;

c. the holder is in violation of any provisions of this article or the

rules and regulations promulgated pursuant to this article;

d. employment of the holder as a security guard constitutes a danger

to the health, safety or well-being of the public.

3. Procedure. The hearing required by subdivision one of this section

shall be held pursuant to the state administrative procedure act,

provided, however, that where a registration card has been temporarily

suspended pursuant to paragraph b of subdivision four of this section,

the hearing shall be held within thirty days and the adjudication shall

be made within forty-five days following the service of notice of such

hearing. If such hearing is adjourned at the request of the holder or by

reason of any act or omission by the holder or on the holder's behalf

such suspension may be continued for the additional period of such

adjournment. Where a holder has been served with notice of hearing which

has not been adjourned and such holder without good cause fails to

appear at the hearing, such hearing may proceed and an adjudication may

be made in the absence of such holder.

4. Temporary suspension of registration cards.

a. Temporary suspension where the holder is charged with a serious

offense. Where a holder is charged with a serious offense, such holder's

registration card may be suspended (i) by the court pending any

prosecution for a serious offense. In order for the court to impose such

suspension it must find that the accusatory instrument conforms to the

requirements of section 140.40 of the criminal procedure law and there

exists reasonable cause to believe that the holder committed the serious

offense with which he is charged. At such time, the holder shall be

entitled to an opportunity to make a statement regarding the enumerated

issues and to present witnesses and other evidence tending to rebut the

court's findings. Where the suspension is imposed upon a pending charge

of a serious offense which is a class A misdemeanor and the holder has

requested a hearing pursuant to article one hundred seventy of the

criminal procedure law, or where the suspension is imposed upon a

pending charge of a serious offense which is a felony and the holder has

requested a hearing pursuant to article one hundred eighty of the

criminal procedure law, the court shall conduct such hearing. If upon

completion of such hearing, the court fails to find that there is

reasonable cause to believe that the holder committed a serious offense,

or if the charges are dismissed or the holder is acquitted of such

charges or the conviction is reversed on appeal, the court shall

promptly notify the secretary and direct restoration of such

registration card unless such registration card is suspended or revoked

pursuant to any other provision of this section. If a holder is

convicted of a serious offense, the court shall promptly notify the

secretary and the suspension shall remain in effect pending a hearing

held pursuant to subdivision three of this section; or (ii) by an

officer designated by the secretary pursuant to the state administrative

procedure act to preside over a hearing, on application by the secretary

on notice to the holder, where such officer finds that such holder has

been charged with a serious offense and reasonable cause exists to

believe that the holder committed the serious offense with which the

holder is charged.

b. Temporary suspension pending hearing and adjudication. Pending the

hearing and adjudication on suspension or revocation of a registration

card, the officer designated to preside over the hearing may, on

application of the secretary with notice to the holder, suspend such

registration card where (i) the holder has been convicted of a serious

offense, (ii) the holder has been charged with a serious offense and

such officer finds that reasonable cause exists to believe that the

holder committed the serious offense with which the holder is charged,

or (iii) such officer finds that reasonable cause exists to believe that

the employment of the holder as a security guard constitutes a danger to

the health, safety or well-being of the public.

5. No registration card may be suspended pursuant to this section

based upon the fact that a holder is charged with or convicted of one or

more serious offenses, or of a misdemeanor in the state which, in the

discretion of the secretary, bears such a relationship to the

performance of the duties of a security guard, as to constitute a bar to

employment unless:

a. there is a direct relationship between one or more such serious

offenses and the registration card or employment of the holder as a

security guard; or

b. the possession of a registration card by the holder or the

employment of the holder as a security guard would involve an

unreasonable risk to property or to the safety or welfare of specific

individuals or the general public.

6. Fines. Where it is determined after hearing that the holder has

violated one or more provisions of this article pursuant to paragraph c

of subdivision two of this section, the secretary may, in lieu of

revocation or suspension of the registration card of such holder, impose

a fine not to exceed one thousand dollars for each violation payable to

the department.

7. Surrender of suspended or revoked registration card. a. When the

court suspends a registration card pursuant to subparagraph (i) of

paragraph a of subdivision four of this section, the holder shall

forthwith surrender the registration card to the court and the court

shall promptly send the registration card to the secretary.

b. Upon suspension or revocation of the registration card by the

secretary or by the officer designated by the secretary to preside over

the hearing, pursuant to this section, the holder shall, if present at

the time of such suspension or revocation, surrender the registration

card forthwith. If the holder is not present at the time of such

suspension or revocation, the secretary shall send notice of such

suspension or revocation to the holder at the address indicated on the

registration card or such other last known address, by personal service

or by certified mail return receipt requested, in which case the holder

shall within five days following receipt of such notice surrender the

registration card by delivering same in person or by certified mail to a

location designated by the secretary. Notice of suspension or revocation

shall be given by the secretary to the security guard company by which

the holder was employed at the time of such suspension or revocation.

8. Reissuance of registration card. A suspended or revoked

registration card may be reissued only by the secretary or by a person

deputized by the secretary. Except as otherwise provided in this

section, where a registration card has been revoked, it may not be

reissued for at least one year following revocation.

Renewal of registration cards. 1. Registration cards shall

expire two years from the date of issuance or last renewal as the case

may be. Not less than sixty nor more than ninety days prior to the

expiration date of a registration card, the department shall mail to

each registrant at his last known address, notice of renewal and a

registration renewal form. Registration cards shall not be renewed

unless not more than sixty nor less than thirty days prior to the

expiration date of the registration card, the holder submits to the

department, a registration renewal form sworn to or affirmed by the

holder under the penalty of perjury together with a biennial renewal fee

in the amount of twenty-five dollars payable to the department and a

certificate certifying that the holder has satisfactorily completed the

required annual in-service training courses as prescribed by the

commissioner pursuant to subdivision one of section eight hundred

forty-one-c of the executive law. Unless the department determines the

existence of facts which would constitute cause for denial, revocation

or suspension of the registration card pursuant to this article, it

shall renew the registration card. Denial of renewal hereunder shall be

reviewable by an administrative hearing as set forth in section

seventy-nine of this chapter. The twenty-five dollar biennial renewal

fee collected by the department shall be deposited to the licensing

examinations services account established pursuant to the provisions of

section 97-aa of the state finance law. Notice that a registration card

has expired or has not been renewed pursuant to this section shall be

given by the secretary to the holder of such registration card and to

the security guard company by which such holder was employed at the time

of such expiration or non-renewal.

2. A registration card which was not renewed or which expired may be

reissued only in a manner prescribed by rules and regulations

promulgated by the department.

Training requirements. 1. Security guards shall be required to

satisfactorily complete training programs given and administered by

security guard training schools, schools which provide security guard

training programs or security guard companies prescribed, certified and

approved by the commissioner pursuant to section eight hundred

forty-one-c of the executive law to include:

a. an eight hour pre-assignment training course;

b. an on-the-job training course to be completed within ninety working

days following employment, consisting of a minimum of sixteen hours and

a maximum of forty hours, as determined by the council, generally

relating to the security guard's specific duties, the nature of the work

place and the requirements of the security guard company;

c. a forty-seven hour firearms training course for issuance of a

special armed guard registration card;

d. an eight hour annual in-service training course; and

e. an additional eight hour annual in-service training course for

holders of special armed guard registration cards.

The training programs and courses required by this subdivision may, if

approved and certified by the commissioner pursuant to subdivision two

of section eight hundred forty-one-c of the executive law, be given and

administered by security guard companies.

Nothing herein shall be construed to prohibit a security guard company

from voluntarily providing training programs and courses which exceed

the minimum requirements provided by this subdivision.

Upon completion of a required training course, a security guard shall

receive from the provider a certificate evidencing satisfactory

completion thereof in accordance with the requirements prescribed by the

commissioner pursuant to section eight hundred forty-one-c of the

executive law.

2. a. A security guard who has been or was previously employed as a

peace officer for eighteen months or more who exhibits a valid

certificate awarded pursuant to subdivision six of section 2.30 of the

criminal procedure law attesting to his or her satisfactory completion

of the training requirements imposed by section 2.30 of the criminal

procedure law shall be exempt from the requirements of paragraph c of

subdivision one of this section provided that such peace officer has

completed a course of firearms training approved by the municipal police

training council provided, however, that nothing in this subdivision

shall be deemed to authorize such guard to carry, possess, repair or

dispose of a firearm unless the appropriate license therefor has been

issued pursuant to section 400.00 of the penal law.

3. A security guard who is also employed as a peace officer for

eighteen months or more shall be exempt from the requirements of

paragraph e of subdivision one of this section as long as he or she is

currently employed as a peace officer and provides to his or her

security guard employer proof of such annual in-service training

required under paragraph e of subdivision one of this section.

4. The provisions of this section shall not apply to a security guard

who is:

a. a correction officer of any state correctional facility having the

powers of a peace officer pursuant to subdivision twenty-five of section

2.10 of the criminal procedure law;

b. a bridge and tunnel officer, sergeant or lieutenant of the

Triborough bridge and tunnel authority having the powers of a peace

officer pursuant to subdivision twenty of section 2.10 of the criminal

procedure law;

c. a uniformed court officer of the unified court system having the

powers of a peace officer pursuant to subdivision twenty-one of section

2.10 of the criminal procedure law;

d. a court clerk having the powers of a peace officer pursuant to

subdivision twenty-one of section 2.10 of the criminal procedure law;

e. a deputy sheriff having the powers of a peace officer pursuant to

subdivision two of section 2.10 of the criminal procedure law;

f. a police officer as defined in paragraphs (a), (b), (c), (d), (e),

(f), (j), (k), (l), (o) and (p) of subdivision thirty-four of section

1.20 of the criminal procedure law who has been retired from such

employment for a period not to exceed ten years, provided, however, that

a retired police officer who has been retired from such employment for a

period in excess of ten years shall be required to provide proof to his

or her security guard employer of his or her satisfactory completion of

an eight hour annual in-service training course approved by the

commissioner, and provided further, however, that a retired police

officer who will be required by his or her security guard employer to

carry a firearm or will be authorized to have access to a firearm shall

provide to such employer proof of his or her satisfactory completion of

a forty-seven hour firearms training course approved by the commissioner

and, if such firearms training course has not been completed within one

year prior to such employment, satisfactory completion of an additional

eight hour annual firearms in-service training course approved by the

commissioner, such training course to be completed at least annually; or

g. a peace officer as defined in subdivisions two, twenty and

twenty-five and paragraphs a and b of subdivision twenty-one of section

2.10 of the criminal procedure law who has been retired from such

employment for a period not to exceed ten years, provided, however, that

a retired peace officer who has been retired from such employment for a

period in excess of ten years shall be required to provide proof to his

or her security guard employer of his or her satisfactory completion of

an eight hour annual in-service training course approved by the

municipal police training council, and provided further, however, that a

retired peace officer who will be required by his or her security guard

employer to carry a firearm or will be authorized to have access to a

firearm shall provide to such employer proof of his or her satisfactory

completion of a forty-seven hour firearms training course approved by

the municipal police training council and, if such firearms training

course has not been completed within one year prior to employment,

satisfactory completion of an additional eight hour annual firearms

in-service training course approved by the municipal police training

council, such training course to be completed at least annually.

Rules and regulations. The secretary shall in consultation

with the security guard advisory council, adopt rules and regulations

implementing the provisions of this article. Such rules and regulations

shall include criteria for determining whether a person is a security

guard or whether a particular function is a security guard function as

defined by subdivision six of section eighty-nine-f of this article.

Violations and penalties. Any person who is employed as a

security guard or who acts as a security guard in violation of the

provisions of section eighty-nine-g of this article or who knowingly and

wilfully makes material misstatements in the application for or renewal

of his or her registration card or who permits or authorizes the

employment of a person as a security guard in violation of the

provisions of section eighty-nine-g of this article or any security

guard company which employs a security guard in violation of the

provisions of section eighty-nine-g of this article shall be guilty of a

misdemeanor which, upon conviction, shall be punishable by a term of

imprisonment not to exceed six months, or by a fine of not more than one

thousand dollars, or by both such fine and imprisonment upon the first

conviction and by a term of imprisonment not to exceed one year or by a

fine of not less than one thousand dollars and not to exceed two

thousand five hundred dollars or by both such fine and imprisonment upon

a subsequent conviction. Any person who shall knowingly and wilfully

fail to surrender his or her registration card as required by

subdivision seven of section eighty-nine-l of this article shall be

guilty of a violation punishable by a fine not to exceed two hundred

fifty dollars in addition to any other penalty prescribed by law. Each

violation of this article shall be deemed a separate offense.

Separability. If any item, clause, sentence, subparagraph,

subdivision, section or other part of this article, or the application

thereof to any person or circumstances shall be held to be invalid, such

holding shall not affect, impair or invalidate the remainder of this

article, or the application of such section or part of a section held

invalid, to any other person or circumstances, but shall be confined in

its operation to the item, clause, sentence, subparagraph, subdivision,

section or other part of this article directly involved in such holding,

or to the person and circumstances therein involved.

Preemption. The provisions of this article shall govern

notwithstanding any other law to the contrary and further, no local law

shall be enacted which shall require any fee or license for the

licensure of registration or security guards.

Reporting. On or before February first, nineteen hundred

ninety-four, and on or before February first of each succeeding year,

the secretary, upon consultation with the commissioner and the security

guard advisory council, shall report to the governor, the temporary

president of the senate and the speaker of the assembly on the

implementation, procedures, operation, training, and enforcement of the

security guard act of nineteen hundred ninety-two, together with any

recommendations relating thereto. Such report shall include, but not be

limited to:

a. the number of security guards registered and maintained in the

security guard registry;

b. the number of applicants for registration, and the number of

applications denied with the reason or reasons therefor;

c. statistics related to the time it takes to process fingerprint

cards, applications and inquiries to the registry by security guard

companies;

d. the number and length of suspensions and revocations, and the

number and amount of fines imposed;

e. the amount of fees collected by the department and the division;

f. the level of appropriation authority available to the department

and the division and the amount of money expended by the department and

division for the purposes of carrying out the provisions of this

article; and

g. any other information which the department and the division deem

necessary. The division shall provide the department with any

information necessary to comply with the requirements of this section.

* § 89-w. Applicability. The provisions of this article shall not

apply to a not-for-profit security guard company, public entity, or

tenant or third-party security provider of such tenant of a publicly

owned sports venue with a capacity of at least sixty thousand people

located in the county of Erie, which hires a security guard or guards

for a specific event or events solely for its own proprietary use and

which employs such security guards only on a temporary basis for a total

period not exceeding fifteen days per year. Notwithstanding anything to

the contrary, such tenant or third-party security provider of a publicly

owned sports venue with a capacity of at least sixty thousand people

located in the county of Erie shall ensure that no less than fifty

percent of the security guards that such tenant or third-party security

provider hires have obtained a license under this article.

* NB Effective until September 20, 2027

* § 89-w. Applicability. The provisions of this article shall not

apply to a not-for-profit security guard company or public entity which

hires a security guard or guards for a specific event or events solely

for its own proprietary use and which employs such security guards only

on a temporary basis for a total period not exceeding fifteen days per

year.

* NB Effective September 20, 2027

* NB Numerically this section should be in Art. 8 but its subject

matter places it in Art. 7-A.

Definitions. For this article, a process server is a person

other than an attorney or a party to an action acting on his own behalf

who: (a) derives income from the service of papers in an action; or (b)

has effected service of process in five or more actions or proceedings

in the twelve month period immediately preceding the service in

question. A person who serves interlocutory papers upon an attorney or

who serves papers on behalf of a federal, state or local governmental

agency in the course of his employment by such agency shall not be

deemed a process server within the meaning of this article by virtue of

such service.

Process server records, penalties. 1. Each process server

shall maintain a legible record of all service made by him as prescribed

in this section.

2. The record to be maintained shall include the following

information, where applicable:

a. the title of the action;

b. the name of the person served, if known;

c. the date and approximate time service was effected;

d. the address where service was effected;

e. the nature of the papers served;

f. the court in which the action has been commenced;

g. the index number of the action, if known.

3. If service is effected pursuant to subdivisions one, two, or three

of section three hundred eight of the civil practice law and rules, the

record shall also include the description of the person served,

including, but not limited to, sex, color of skin, hair color,

approximate age, height and weight and other identifying features.

4. If service is effected pursuant to subdivision four of section

three hundred eight of the civil practice law and rules, the record

shall also include the dates, addresses and time of attempted service

pursuant to subdivisions one, two or three of such section.

5. If the process server files an affidavit of service with the court,

his record shall include the date of such filing.

6. Process servers shall retain each record required to be kept under

this article for a period of two years from the date of service. Where a

process server is employed as a process server by any person, a copy of

such records shall also be maintained by such person at his principal

office in this state for the same period.

Enforcement by attorney general. In addition to the other

remedies provided, whenever there shall be a violation of this article,

application may be made by the attorney general in the name of the

people of the state of New York to a court or justice having

jurisdiction by a special proceeding to issue an injunction, and upon

notice to the defendant of not less than five days, to enjoin and

restrain the continuance of such violations; and if it shall appear to

the satisfaction of the court or justice that the defendant has, in

fact, violated this article, an injunction may be issued by such court

or justice, enjoining and restraining any further violation, without

requiring proof that any person has, in fact, been injured or damaged

thereby. In any such proceeding, the court may make allowances to the

attorney general as provided in paragraph six of subdivision (a) of

section eighty-three hundred three of the civil practice law and rules.

Whenever the court shall determine that a violation of this article has

occurred, the court may impose a civil penalty of not more than one

thousand dollars for each violation. Provided, however, a process server

or agency may not be held liable for penalty in any action brought under

this section for violation of this article, if the process server or

agency shows by a preponderance of the evidence that the violation was

not intentional and resulted from a bona fide error, notwithstanding the

maintenance of procedures reasonably adopted to avoid any such error.

Examples of a bona fide error include, but are not limited to, clerical

calculation, computer malfunction and programming and printing errors.

In connection with any such proposed application, the attorney general

is authorized to take proof and make a determination of the relevant

facts and to issue subpoenas in accordance with the civil practice law

and rules.

Definitions. For the purposes of this article:

1. A "process server" is a person, other than an attorney or a party

to an action acting on his own behalf, who: (a) derives income from the

service of papers in an action; or (b) has effected service of process

in five or more actions or proceedings in the twelve month period

immediately preceding the service in question. A person who serves

interlocutory papers upon an attorney or who serves papers on behalf of

a federal, state or local governmental agency in the course of his

employment by such agency shall not be deemed a process server within

the meaning of this article by virtue of such service.

2. A "process serving agency" is any person, firm, partnership,

association or corporation, other than an attorney or a law firm located

in this state, who, as owner, manager or contractor, maintains an

office, bureau or agency for the purpose of assigning or distributing

process to individual process servers for actual service.

Process server records. 1. Each process server shall maintain

a legible record of all service made by him or her as prescribed in this

section. Such records shall be kept, either:

(a) in chronological order in a bound, paginated volume. Corrections

in records shall be made only by drawing a straight line through the

inaccurate entry and clearly printing the accurate information directly

above the inaccurate entry. All other methods of correction, including

but not limited to erasing, opaquing, obliterating or redacting, are

prohibited; or

(b) by submitting recorded entries to a third party contractor within

three days of service or attempted service, provided, however that

permissions pertaining to such data will be secured so that the data

cannot be deleted upon submission. Records shall be reported in

chronological order. It shall be unlawful for any process server to

tamper with data or properties of any electronic record kept pursuant to

this section after an image file is made by modifying, amending,

deleting, rearranging or in any other way altering any such data or

properties including, but not limited to, using a meta data scrubber or

similar device or program. If a typographical error has occurred or if

data contained in the process server's record was accidentally omitted

from the electronic data entry, the third party contractor may make an

amendment in which the original record shall be identified by entering

it in italics. All third party contractors must maintain a daily backup

of all submitted data, and all data must be available for review upon

request of any and all interested parties.

2. The record to be maintained shall include the following

information, where applicable:

(a) the title of the action or a reasonable abbreviation thereof;

(b) the name of the person served, if known;

(c) the date and approximate time service was effected;

(d) the address where service was effected;

(e) the nature of the papers served;

(f) the court in which the action has been commenced;

(g) the index number of the action, if known;

(h) if service is effectuated pursuant to subdivision four of section

three hundred eight of the civil practice law and rules or subdivision

one of section seven hundred thirty-five of the real property actions

and proceedings law, a description of the color of the door to which the

summons is affixed;

(i) the process serving agency from whom the process served was

received, if any;

(j) type of service effected whether personal, substituted or

conspicuous;

(k) if service is effected pursuant to subdivision one, two or three

of section three hundred eight of the civil practice law and rules, the

record shall also include the description of the person served,

including, but not limited to sex, color of skin, hair color,

approximate age, height and weight and other identifying features;

(l) if service is effected pursuant to subdivision four of section

three hundred eight of the civil practice law and rules, the record

shall also include the dates, addresses and time of attempted service

pursuant to subdivision one, two or three of such section;

(m) if the process server files an affidavit of service with the

court, his record shall include the date of such filing.

Process serving agency records. 1. Each process serving

agency shall be required to keep complete and accurate records with

respect to each process server to whom it distributes, assigns or

delivers process to be served. Corrections in records shall be made only

by drawing a straight line through the inaccurate entry and clearly

printing the accurate information directly above the inaccurate entry.

All other methods of correction, including but not limited to, erasing,

opaquing, obliterating, or redacting, are prohibited.

2. Such records shall include, where applicable:

(a) The name of the process server to whom process is distributed,

assigned or delivered to be served;

(b) The titles or a reasonable abbreviation thereof and index numbers

of each case if filed in court by the agency;

(c) The date that such papers were assigned for service, and the date

that service was effected;

(d) The person from whom such papers were received for service;

(e) The date of filing of papers with the court if filed by the

agency;

(f) The type of service effected whether personal, substituted or

conspicuous.

Responsibility of process serving agency and process servers.

1. It shall be unlawful for a process server to fail to comply with all

legal requirements for the service of process.

2. A process serving agency shall be legally responsible for the acts

of each process server to whom it has distributed, assigned or delivered

process for service if it could reasonably have known that the process

server was acting improperly.

3. It shall be unlawful for a process serving agency or a process

server to fail to comply with all laws and regulations respecting

preparation, notarization and filing of affidavits of service of process

and other documents.

Affidavits of service. It shall be unlawful for a process

server to fail to set forth on any affidavit of service or process

signed by him his license or registration number if such process server

is required to be licensed or registered pursuant to any state or local

law and the name and address of any process serving agency from whom he

obtained the process for service if any.

Availability of records. All records required to be

maintained by this article shall be retained by a process server or

process serving agency for a minimum of three years and shall be

available for inspection by the attorney general. The attorney general

shall afford a process server or process serving agency at least five

days prior written notice of its desire to make an inspection of records

and shall specify the records to be inspected.

Enforcement by attorney general. In addition to the other

remedies provided, whenever there shall be a violation of this article,

application may be made by the attorney general in the name of the

people of the state of New York to a court or justice having

jurisdiction by a special proceeding to issue an injunction, and upon

notice to the defendant of not less than five days, to enjoin and

restrain the continuance of such violations; and if it shall appear to

the satisfaction of the court or justice that the defendant has, in

fact, violated this article, an injunction may be issued by such court

or justice, enjoining and restraining any further violation, without

requiring proof that any person has, in fact, been injured or damaged

thereby. In any such proceeding, the court may make allowances to the

attorney general as provided in paragraph six of subdivision (a) of

section eighty-three hundred three of the civil practice law and rules.

Whenever the court shall determine that a violation of this article has

occurred, the court may impose a civil penalty of not more than one

thousand dollars for each violation. Provided, however, a process server

or agency may not be held liable for penalty in any action brought under

this section for violation of this article, if the process server or

agency shows by a preponderance of the evidence that the violation was

not intentional and resulted from a bona fide error, notwithstanding the

maintenance of procedures reasonably adopted to avoid any such error.

Examples of a bona fide error include, but are not limited to, clerical

calculation, computer malfunction and programming and printing errors.

In connection with any such proposed application, the attorney general

is authorized to take proof and make a determination of the relevant

facts and to issue subpoenas in accordance with the civil practice law

and rules.

Preservation of private remedies. Nothing in this article

shall be construed to nullify or impair any right or rights which an

individual may have against a process server or process serving agency

at common law, by statute or otherwise.

Preemption. This article does not annul, alter, affect or

exempt any person or business entity subject to the provisions of this

article from complying with any local law, ordinance or regulation with

respect to process servers or process serving agencies except to the

extent that those laws are inconsistent with any provision of this

article, and then only to the extent of the inconsistency. For purposes

of this section, a local law, ordinance or regulation is not

inconsistent with this article if the protection such law or regulation

affords a consumer is greater than the protection provided by this

article.

Severability. If any provision of this article or if any

application thereof to any person or circumstance is held invalid, the

remainder of this article and the application of the provision to other

persons and circumstances shall not be affected thereby.

Applicability. This article shall apply only in cities having

a population of one million or more.

Short title. This article shall be known and may be cited as

the "armored car carrier act."

Definitions. When used in this article, the following terms

shall have the following meanings:

1. "Commissioner" means the commissioner of the division of criminal

justice services.

2. "Division" means the division of criminal justice services.

3. "Secretary" means the secretary of state.

4. "Department" means the department of state.

6. "Armored car carrier" means any individual, partnership,

association, limited liability company, corporation, or any other

entity, engaging in the business of providing armored car services for

hire.

7. "Armored car services" means engaging in the business of providing

secured transportation, protection and safeguarding of valuable cargo

from one place or point to another, including the provision of cash

services for automated teller machines, by means of specially designed

and constructed bullet-resistant armored vehicles and armored car

guards.

8. "Armored car guard" has the meaning ascribed to that term by

subdivision eight of section eighty-nine-ppp of this chapter.

9. "Valuable cargo" means money, cash, currency, coin, bullion,

precious metals and articles made therefrom, gems and jewelry,

negotiable and non-negotiable securities, bonds, notes, checks, drafts,

coupons, or other valuable instruments, documents or certificates,

including tapes, computer disks, or other electronic or magnetic media,

U.S. Postage Stamps, food stamps, and other articles of unusual value.

10. "Licensee" means an armored car carrier that has been issued a

license in accordance with the provisions of this article.

11. "Principal" means any person controlling an interest greater than

ten percent of an armored car carrier.

12. "Officer" means the four primary officers of a corporation,

normally defined as president, vice-president, secretary and treasurer.

13. "Serious offense" has the meaning ascribed to that term by

subdivision thirteen of section eighty-nine-f of this chapter.

Doing business without a license prohibited. 1. No

individual, partnership, association, limited liability company,

corporation, or any other entity, shall operate in the state as an

armored car carrier or provide armored car services, or hold themselves

out as an armored car carrier or provider of armored car services,

except as authorized by this article and without first being licensed by

the department. No armored car carrier shall employ any armored car

guard who does not possess a conditional letter of authority or a valid

registration card in accordance with the provisions of article eight-C

of this chapter.

2. Notwithstanding the provisions of subdivision one of this section,

each armored car carrier engaging in the business of providing armored

car services in the state as of the effective date of this section, may

continue to provide such services until the one hundred eightieth day

after this section shall have taken effect. No armored car carrier shall

provide armored car services after such date which has not complied with

the provisions of this article and article eight-C of this chapter.

Application for licenses. 1. Application for a license

required under this article shall be in writing, subscribed by the

applicant under oath, and in the form prescribed by the secretary, and

shall contain the following:

a. The exact name and the address of the applicant and its date of

incorporation or organization, as applicable;

b. The name and the business and residential address of each principal

and officer of the applicant;

c. The complete address where the business of the applicant is to be

conducted, showing the street and number, if any, post office and

building and room number, if any, the office building and room number,

if any, and the municipality and county;

d. If the applicant has one or more branches, subsidiaries or

affiliates operating in the state, the complete address of each such

place of business; and

e. A complete set of two fingerprint cards for each principal and

officer of the applicant on a standard fingerprint card approved by the

division and a fee pursuant to subdivision eight-a of section eight

hundred thirty-seven of the executive law, and amendments thereto, for

the cost of the division's full search and retain procedures, which fee

shall be remitted by the department to the division for deposit by the

comptroller into the general fund. Before approving such application

the secretary, or his or her designee, shall forward one copy of such

fingerprint card and the processing fee to the division upon receipt of

such fingerprints. The division shall forward to the secretary a report

with respect to the applicant's previous criminal history, if any, or a

statement that the applicant has no previous criminal history according

to its files. Upon the written request of an armored car carrier, the

secretary shall require each principal and officer of the applicant to

submit to an additional fingerprint check by the Federal Bureau of

Investigation, and to remit the appropriate fee therefor. If additional

copies of fingerprints are required the applicant shall furnish them

upon request.

2. Upon original application for a license to operate as an armored

car carrier, the applicant shall pay an application fee in the amount of

three hundred dollars. Upon application for a license renewal, the

licensee shall pay a renewal processing fee in the amount of three

hundred dollars.

Conditions precedent to licensing. Upon filing of an

application for a license, if the secretary shall be satisfied that the

good character, competency and integrity of the applicant, and of the

principals and officers thereof, are such as to comply with the

provisions of this article, he or she shall thereupon issue a license to

operate as an armored car carrier in accordance with the provisions of

this article. Such license shall remain in full force and effect for a

period of three years unless it is surrendered by the licensee or

revoked or suspended as hereinafter provided; if the secretary shall not

so find, the secretary shall not issue such license and the secretary

shall notify the applicant of the denial in writing. The secretary

shall approve or deny every application for license hereunder within

ninety days from the filing thereof. No license shall be issued to an

applicant who has been convicted of a serious offense, or of a

misdemeanor, where such conviction, in the discretion of the secretary,

bears such a relationship to providing armored car services so as to

constitute a bar to licensure.

Licensing. 1. Each license issued under this article shall

state the address or addresses at which the business is to be conducted

and shall state fully the name of the licensee, and the date and place

of its incorporation or organization, as applicable, and the expiration

date of the license. A copy of such license shall be prominently posted

in each place of business of the licensee. Such license shall not be

transferable or assignable.

2. In the event the location at which the business is to be conducted

shall be changed, the licensee shall forthwith notify the secretary in

writing, who shall thereupon without charge attach to the license a

rider setting forth such changed location.

3. In the event that there shall be any changes among the principals

or officers of any licensee, the licensee shall forthwith notify the

secretary in writing, of the name and address of each new principal or

officer, and shall submit a complete set of two fingerprint cards, and

the appropriate fee, for each such principal or officer in accordance

with the provisions of paragraph e of subdivision one of section

eighty-nine-ddd of this article.

4. Prior to the sale or transfer of all or the majority of the stock

or assets of any armored car carrier, the new principals or officers of

the purchaser or transferee shall apply for a new license with the

department in accordance with the provisions of sections eighty-nine-ddd

and eighty-nine-eee of this article. Such application shall be made at

least sixty days prior to such sale or transfer. If the purchaser or

transferee is an existing licensee under this article, then such

licensee need not reapply for licensure hereunder, but shall notify the

department in writing of such purchase or transfer at least sixty days

prior thereto.

5. A license granted under the provisions of this article may be

renewed by the department upon the application therefor by the licensee,

in such form as the department may prescribe, accompanied by the

nonrefundable renewal processing fee pursuant to subdivision two of

section eighty-nine-ddd of this article. In no event shall renewal be

granted more than six months after the date of expiration of a license.

No individual, partnership, association, limited liability company,

corporation, or any other entity shall engage in the business of

providing armored car services subject to this article during any period

which may exist between the date of expiration of a license and the

renewal thereof.

Grounds for denial, suspension or revocation of license;

procedure. 1. The secretary shall have the power to suspend or revoke a

license or, in lieu thereof, impose a fine not exceeding one thousand

dollars payable to the department, or, reprimand any licensee or deny an

application for a renewal thereof upon proof:

a. That the applicant or licensee has violated any of the provisions

of this article or the rules and regulations promulgated hereunder;

b. That the applicant or licensee has practiced fraud, deceit or

misrepresentation;

c. That the applicant or licensee has demonstrated incompetence or

untrustworthiness in his or her actions;

d. That the applicant or licensee has been convicted of a serious

offense or misdemeanor which, in the discretion of the secretary, bears

such a relationship to the provision of armored car services by an

armored car carrier as to constitute a bar to licensure or renewal; or

e. That the applicant or licensee has violated any of the provisions

or article eight-C of this chapter or the rules and regulations

promulgated thereunder.

2. No license shall be revoked or suspended and no fine or reprimand

shall be imposed except after written notice and hearing as set forth in

subdivisions two, three, four, five and six of section seventy-nine of

this chapter. The secretary shall revoke a license issued to a person

pursuant to this section upon proof that, on or after the date such

licensee applied for such license, the licensee was convicted of one or

more serious offenses.

3. No license may be suspended or temporarily suspended pursuant to

this section based upon the fact that a licensee is charged with one or

more serious offenses, or charged with or convicted of a misdemeanor

which, in the discretion of the secretary, bears such a relationship to

the performance of the duties of an armored car carrier, as to

constitute a bar to licensure unless:

a. there is a direct relationship between one or more such serious

offenses and the license to do business or business activities of an

armored car carrier; or

b. the possession of a license by such armored car carrier would

involve an unreasonable risk to property or to the safety or welfare of

specific individuals or the general public.

4. Pending the hearing and adjudication on suspension or revocation of

a license pursuant to the provisions of subdivision three of this

section, such license may be temporarily suspended, in accordance with

the provisions of subdivision four of section eighty-nine-1 of this

chapter, provided that such subdivision shall be read in such a manner

as to apply to armored car carriers or armored car guards as the context

requires.

5. Every license issued hereunder shall remain in full force and

effect for a period of three years unless the same shall have been

surrendered, revoked or suspended in accordance with the provisions of

this article.

6. Whenever the secretary shall revoke or suspend a license issued

pursuant to this article, the secretary shall forthwith execute a

written order to that effect. The secretary shall forthwith serve a copy

of such order upon the licensee. Any such order may be reviewed in the

manner provided by article seventy-eight of the civil practice law and

rules.

Enforcement of article; investigations. All armored car

carriers shall be subject to the enforcement provisions contained in

article seven of this chapter, provided that such provisions shall be

read in such a manner as to apply to armored car carriers or armored car

guards, as the context requires.

Insurance. 1. Every armored car carrier shall obtain a

minimum of ten million dollars all risk insurance coverage and such

additional amounts as are sufficient to cover the value of each valuable

cargo consigned in transit or while safeguarded in such carrier's

vaults. In addition, each such carrier shall obtain comprehensive

general liability insurance coverage for death, personal injury and

property damage in the minimum amount of five hundred thousand dollars

per occurrence and one million dollars in the aggregate.

2. A written certificate or certificates of insurance shall be

provided to the secretary by each armored car carrier as part of its

application for a license pursuant to the provisions of section

eighty-nine-ddd of this article, or for renewal of such license in

accordance with the provisions of subdivision five of section

eighty-nine-fff of this article.

3. Failure by an armored car carrier to keep such all risk insurance

or comprehensive general liability insurance coverage in full force and

effect, shall be a ground for the secretary to refuse to issue or renew

a license, or to suspend or revoke such license, in accordance with the

provisions of section eighty-nine-ggg of this article.

4. All such insurance required by this section shall be issued by an

insurance company licensed to do business in the state or shall

otherwise be procured by a duly licensed excess line broker pursuant to

section two thousand one hundred eighteen of the insurance law.

Violations and penalties. 1. Any armored car carrier and the

several members, principals, officers, directors, agents or employees

thereof, who shall knowingly and willfully make material misstatements

in the application for a license, or renewal thereof, under the

provisions of this article, or which permits or authorizes the

employment of an individual as an armored car guard in violation of the

provisions of article eight-C of this chapter, shall be guilty of a

misdemeanor, which, upon conviction, shall be punishable by a term of

imprisonment not to exceed six months, or by a fine of not more than one

thousand dollars, or by both such fine and imprisonment, upon the first

conviction, and by a term of imprisonment not to exceed one year, or by

a fine of not less than one thousand dollars and not to exceed two

thousand five hundred dollars, or by both such fine and imprisonment,

upon a subsequent conviction.

2. Upon the motion of the secretary or upon his or her own motion, the

attorney general shall investigate alleged provision of unlicensed

armored car services. In the event that the attorney general determines

that unlicensed armored car services are being or have been provided, he

or she shall commence a civil action against those responsible persons,

and an application shall be made in the name of the people of the state

to a court of competent jurisdiction to issue an injunction, and upon

notice to the defendant of not less than five days, to enjoin and

restrain the continuance of the provision of unlicensed armored car

services; and, if it shall appear to the satisfaction of the court that

the defendant has engaged in the business of providing unlicensed

armored car services, an injunction may be issued by such court or

justice, enjoining and restraining any such unlicensed services, without

requiring proof that any person has, in fact, been injured or damaged

thereby. Whenever the court shall determine that the defendant has

violated the provisions of this article by providing unlicensed armored

car services, the court may fine such defendant not less than one

thousand dollars for each violation, but in no event shall the total

amount of such fine exceed the sum of twenty-five thousand dollars.

3. Each violation of this article shall be deemed a separate offense.

4. Unless otherwise provided under this article, all fees, fines and

penalties collected under this article shall be deposited by the state

comptroller to the credit of the licensing examinations services account

within the miscellaneous special revenue fund established pursuant to

the provisions of section ninety-seven-aa of the state finance law.

Preemption. 1. The provisions of this article shall

exclusively govern all armored car carriers notwithstanding the

provisions of any other law to the contrary and further, no local law

shall be enacted which shall attempt to regulate or require any fee or

license for the licensure or registration of armored car carriers.

Unless otherwise provided under this article, all such carriers are

specifically exempt and excluded from the provisions of articles seven

and seven-A of this chapter or any other law purporting to regulate,

watch, guard or patrol agencies or security guard companies or agents

and employees thereof.

2. The provisions of this article shall not apply to any subsidiary of

an entity organized and operating pursuant to the federal "bank holding

company act of 1956" (12 U.S.C.A.S. 1841 et seq.).

Regulations. The secretary is hereby authorized and

empowered to promulgate rules and regulations necessary for the proper

conduct of the business authorized under this article, and not

inconsistent herewith.

Separability. In the event it is determined by a court of

competent jurisdiction that any phrase, clause, part, subdivision,

paragraph or section, or any of the provisions of this article, is

unconstitutional or otherwise invalid or inoperative, such determination

shall not affect the validity or effect of the remaining provisions of

this article.

Short title. This article shall be known and may be cited as

the "armored car guard act."

Definitions. When used in this article, the following terms

shall have the following meanings:

1. "Commissioner" means the commissioner of the division of criminal

justice services.

2. "Division" means the division of criminal justice services.

3. "Secretary" means the secretary of state.

4. "Department" means the department of state.

6. "Armored car carrier" has the meaning ascribed to that term by

subdivision six of section eighty-nine-bbb of this chapter.

7. "Armored car services" has the meaning ascribed to that term by

subdivision seven or section eighty-nine-bbb of this chapter.

8. "Armored car guard" means an individual employed by an armored car

carrier to provide armored car services and who carries a firearm or is

authorized by the employer to access a firearm when providing armored

car services, and who holds a conditional letter of authority or a valid

registration card issued by the department pursuant to the provisions of

this article.

9. "Applicant" means an individual who has filed an application with

the department for a registration card.

10. "Holder" means an individual who has been issued a conditional

letter of authority or a registration card by the department.

11. "Registration card" means a photographic identification card

issued by the department signifying that the holder has been certified

by the department to perform armored car services in the employ of an

armored car carrier and to carry firearms in connection therewith.

Nothing herein contained shall relieve such holder from any provision of

law which requires that he or she be licensed to carry such firearm.

12. "Qualified firearms instructor" means an individual who holds a

certificate as a firearms instructor from an association or organization

recognized by the division.

13. "Qualified firearms training course" means a minimum forty-seven

hour firearms training course for armored car guards that is specific

and germane to the armored car carrier industry, recognized by the

division in consultation with the armored car carrier industry.

14. "Peace officer" has the meaning ascribed to that term by

subdivision thirty-three of section 1.20 of the criminal procedure law,

who is employed full-time as a peace officer and who has successfully

completed the training requirements as set forth in subdivision one of

section 2.30 of such law.

15. "Police officer" has the meaning ascribed to that term by

subdivision thirty-four of section 1.20 of the criminal procedure law.

16. "Valuable cargo" has the meaning ascribed to that term by

subdivision nine of section eighty-nine-bbb of this chapter.

17. "Serious offense" has the meaning ascribed to that term by

subdivision thirteen of section eighty-nine-f of this chapter.

Qualifications for an armored car guard registration card.

No applicant shall have been convicted of a serious offense, or of a

misdemeanor which, in the discretion of the secretary, bears such a

relationship to the performance of the duties of an armored car guard,

as to constitute a bar to employment.

Application for registration card. An application for an

armored car guard registration card shall be verified and subscribed by

the applicant and shall contain the following information:

1. Full name;

2. Aliases or maiden name;

3. Current residence and telephone number;

4. Any conviction of a crime, as that term is defined in section 10.00

of the penal law;

5. A complete set of two fingerprint cards on a standard fingerprint

card approved by the division. Before approving such application the

secretary, or his or her designee, shall transmit to the division one

copy of such fingerprint card and the fee required pursuant to

subdivision seven of this section and cause to be conducted a search of

state files to ascertain whether the applicant has a previous criminal

history. Upon the written request of an armored car carrier, the

secretary shall require each applicant to submit to an additional

fingerprint check by the federal bureau of investigation, and to remit

the appropriate fee therefor. The secretary may cause an investigation

to be conducted to verify the information contained in the application

provided. The department, in consultation with the division, may waive

such background checks, investigations and fees if, in its opinion, the

applicant has been subject to previous background checks and

investigation requirements which meet or exceed the requirements of this

section or the federal "Armored Car Industry Reciprocity Act of 1993,"

pub. l. 103-55 (15 U.S.C. § 5901 et seq.), and amendments thereto. The

department, in consultation with the division, may not be required to

conduct background checks or investigations for applicants who are also

employed as peace officers. If additional copies of fingerprints are

required the applicant shall furnish them upon request;

6. Two photographs of such applicant taken within thirty days prior to

the filing of the application of a size prescribed by the department;

and

7. An application processing fee of fifty dollars and a fee pursuant

to subdivision eight-a of section eight hundred thirty-seven of the

executive law, and amendments thereto, for the cost of the division's

full search and retain procedures, which fee shall be remitted by the

department to the division for deposit by the comptroller into the

general fund.

Training requirements; waiver or exemption. 1. Every armored

car guard, other than a police officer, employed by an armored car

carrier shall be required to satisfactorily complete a qualified

firearms training course. Such course shall include appropriate range

instruction by a qualified firearms instructor, and range qualification

with each type and caliber of firearm he or she will have access to

while on duty.

2. Such course shall be given and administered by armored car carriers

or their designees. Every armored car carrier shall maintain a record of

and certify to the secretary, in writing, the satisfactory completion of

such course by any armored car guard.

3. Nothing herein shall be construed to prohibit an armored car

carrier from voluntarily providing training programs and courses which

exceed the minimum requirements provided by this section.

4. The commissioner shall waive the training requirements specified in

subdivision one of this section, with respect to applicants employed by

armored car carriers, if the applicant provides appropriate

documentation to demonstrate that he or she was or is subject to

training requirements which meet or exceed the requirements established

pursuant to such subdivision.

5. An armored car guard who has been or was previously employed as a

peace officer for eighteen months or more who exhibits a valid

certificate awarded pursuant to subdivision six of section 2.30 of the

criminal procedure law attesting to his or her satisfactory completion

of the training requirements imposed by section 2.30 of the criminal

procedure law, shall be exempt from the requirements of subdivision one

of this section, provided that such peace officer has completed a course

of firearms training recognized by the division. Nothing in this

subdivision shall be deemed to authorize such guard to carry, possess,

repair or dispose of a firearm unless the appropriate license therefor

has been issued pursuant to section 400.00 of the penal law.

Annual training; background checks. 1. a. In addition to the

minimum firearms training required by section eighty-nine-sss of this

article, each armored car guard, other than a police officer, shall

satisfactorily complete an eight hour in-service firearms training

course, recognized by the division, at least annually. Such course shall

be administered by armored car carriers, or their designees, and shall

include requalification with the firearms he or she will have access to

while on duty, under the supervision of a qualified firearms instructor.

Every armored car carrier shall maintain a record of and certify to the

secretary, in writing, the satisfactory completion of such course by any

armored car guard.

b. An armored car guard who is also employed as a peace officer for

eighteen months or more shall be exempt from the requirements of

paragraph a of this subdivision as long as he or she is currently

employed as a peace officer and provides to his or her employer proof of

such annual in-service firearms training required under such paragraph.

2. The secretary or his or her designee shall annually ensure that

each armored car guard holding a valid registration card is subject to

the division's ongoing criminal history search and retain procedures.

3. Notwithstanding the provisions of this article, an armored car

guard and his or her employer shall comply with the provisions of the

federal "Armored Car Industry Reciprocity Act of 1993," pub. l. 103-55

(15 U.S.C. § 5901 et seq.), and amendments thereto.

4. Every armored car carrier shall permit the department to inspect,

review or copy training records to ensure compliance with the provisions

of this article.

Interim employment. For each armored car guard employed by

an armored car carrier, as of the effective date of this section, such

carrier shall, at a time assigned by the secretary pursuant to a

staggered schedule, comply with the provisions of this article with

respect to registration. Until the assigned filing date, such armored

car carrier may continue to employ such guard to provide armored car

services. No armored car carrier may employ any such guard after the

assigned filing date who has not complied with the registration

requirements as set forth in this article.

Conditional letter of authority; issuance of registration

card; suspension or revocation; renewal. 1. Upon review of the completed

application required by section eighty-nine-rrr of this article and

after the applicant has met the qualifications of section

eighty-nine-qqq of this article, the department shall issue a

conditional letter of authority, in a form prescribed by the secretary,

to such applicant within five business days after receipt of the

completed application. Any such applicant may be employed by an armored

car carrier, pending his or her satisfaction of the requirements of

section eighty-nine-sss of this article not later than one hundred

eighty days after the date of submission of the completed application.

2. Upon review of the completed application required by section

eighty-nine-rrr of this article and after the applicant has met the

qualifications of section eighty-nine-qqq of this article and satisfied

the requirements of section eighty-nine-sss of this article, the

department shall issue a registration card, in a form prescribed by the

secretary, which shall include the guard's name, photograph, card

number, expiration date, and any other information the department deems

necessary. The department shall issue or deny issuance of such

registration card within ninety days after receipt of a completed

application therefor. Denial of a registration card hereunder shall be

reviewable by an administrative hearing as set forth in subdivisions

two, three, four, five and six of section seventy-nine of this chapter.

3. The secretary may suspend, for a period not to exceed eighteen

months, revoke, or refuse to reissue, as the case may be, a conditional

letter of authority or registration card issued pursuant to this

section, after a hearing pursuant to subdivisions two, three, four, five

and six of section seventy-nine of this chapter, for one or more of the

following causes:

a. the holder is convicted of a serious offense or a misdemeanor

which, in the discretion of the secretary, bears such a relationship to

the performance of the duties of an armored car guard, as to constitute

a bar to employment;

b. the holder has practiced fraud, deceit or misrepresentation;

c. the holder is in violation of any provisions of this article or the

rules and regulations promulgated hereunder; or

d. the possession of a license as an armored car guard would involve

an unreasonable risk to property or to the safety or welfare of specific

individuals or the general public.

4. Pending the hearing and adjudication on suspension or revocation of

a conditional letter of authority or registration card pursuant to the

provisions of subdivision three of this section, such conditional letter

of authority or registration card may be temporarily suspended, in

accordance with the provisions of subdivision four of section

eighty-nine-l of this chapter, provided that such subdivision shall be

read in such a manner as to apply to armored car carriers or armored car

guards as the context requires. The secretary shall revoke a

conditional letter of authority or registration card issued to any

holder pursuant to this section, after a hearing pursuant to

subdivisions two, three, four, five and six of section seventy-nine of

this chapter, upon proof that, on or after the date such holder applied

for such conditional letter of authority or registration card, the

holder was convicted of one or more serious offenses.

5. No conditional letter of authority or registration card may be

suspended or temporarily suspended pursuant to this section based upon

the fact that a holder is charged with one or more serious offenses, or

charged with or convicted of a misdemeanor which, in the discretion of

the secretary, bears such a relationship to the performance of the

duties of an armored car guard, as to constitute a bar to employment

unless:

a. there is a direct relationship between one or more such serious

offenses and the conditional letter, registration card or employment of

the holder as an armored car guard; or

b. the possession of a conditional letter or registration card by the

holder or the employment of the holder as an armored car guard would

involve an unreasonable risk to property or to the safety or welfare of

specific individuals or the general public.

6. The secretary, or the officer designated by the secretary to

preside over the hearing pursuant to this section, shall forthwith give

written notice of the suspension, revocation or nonrenewal of a

conditional letter of authority or registration card, to the holder and

the armored car carrier by which the holder was employed at the time of

such suspension, revocation or nonrenewal. Any such order may be

reviewed in the manner provided by article seventy-eight of the civil

practice law and rules.

7. A registration card issued pursuant to subdivision two of this

section shall be reissued biennially by the secretary upon timely

application therefor and submission of a renewal processing fee of fifty

dollars.

Violations and penalties. 1. Any individual who is employed

as an armored car guard or who acts as an armored car guard in violation

of the provisions of this article or who knowingly and willfully makes

material misstatements in the application for or renewal of his or her

conditional letter of authority or registration card, as the case may

be, or who permits or authorizes the employment of an individual as an

armored car guard in violation of the provisions of this article, shall

be guilty of a misdemeanor, which, upon conviction, shall be punishable

by a term of imprisonment not to exceed six months, or by a fine of not

more than one thousand dollars, or by both such fine and imprisonment,

upon the first conviction, and by a term of imprisonment not to exceed

one year, or by a fine of not less than one thousand dollars and not to

exceed two thousand five hundred dollars, or by both such fine and

imprisonment, upon a subsequent conviction.

2. a. Any holder who shall knowingly and willfully fail to surrender

his or her conditional letter of authority or registration card within

five days of receipt of notice of suspension, revocation, or nonrenewal

thereof by the secretary, or the officer designated by the secretary to

preside over the hearing, pursuant to the provisions of section

eighty-nine-vvv of this article, shall be guilty of a violation,

punishable by a fine not to exceed two hundred fifty dollars, in

addition to any other penalty prescribed by law.

b. Notwithstanding the provisions of paragraph a of this subdivision,

where it is determined after a hearing that the holder has violated one

or more provisions of this article pursuant to paragraph c of sudivision

three of section eighty-nine-vvv of this article, the secretary may, in

lieu of revocation or suspension of the conditional letter of authority

or registration card of such holder, impose a fine not to exceed one

thousand dollars for each violation, payable to the department.

3. Each violation of this article shall be deemed a separate offense.

4. Unless otherwise provided under this article, all fees, fines and

penalties collected under this article shall be deposited to the credit

of the licensing examinations services account established pursuant to

the provisions of section ninety-seven-aa of the state finance law.

Preemption. 1. The provisions of this article shall

exclusively govern all armored car guards notwithstanding the provisions

of any other law to the contrary and further, no local law shall be

enacted which shall regulate or require any fee or license for the

licensure or registration of armored car guards. Unless otherwise

provided under this article, all such guards are specifically exempt and

excluded from the provisions of articles seven and seven-A of this

chapter or any other law purporting to regulate watch, guard or patrol

agencies or security guard companies or agents and employees thereof.

2. The provisions of this article shall not apply to any subsidiary of

an entity organized and operating pursuant to the federal "bank holding

company act of 1956" (12 U.S.C.A.S. 1841 et seq.).

Regulations. The secretary and commissioner, in consultation

with the armored car carrier industry, are hereby authorized and

empowered to promulgate rules and regulations necessary for the proper

conduct of the business authorized under this article, and not

inconsistent herewith.

Separability. In the event it is determined by a court of

competent jurisdiction that any phrase, clause, part, subdivision,

paragraph or section, or any of the provisions of this article, is

unconstitutional or otherwise invalid or inoperative, such determination

shall not affect the validity or effect of the remaining provisions of

this article.

Fictitious bills of lading, receipts and vouchers. A person who:

Being the master, owner or agent of any vessel, or officer or agent of

any railway, express or transportation company, or otherwise being or

representing any carrier, delivers any bill of lading, receipt or other

voucher, by which it appears that mechandise of any kind has been

shipped on board a vessel, or delivered to a railway, express or

transportation company, or other carrier, unless the same has been so

shipped or delivered and is at the time actually under the control of

such carrier, or the master, owner or agent of such vessel or of some

officer or agent of such company, to be forwarded as expressed in such

bill of lading, receipt or voucher, is guilty of a misdemeanor.

Offenses by pipe-line corporations. A pipe-line corporation, or

a person being the officer, agent, manager or representative thereof,

who:

1. Accepts, makes or issues any receipt, certificate or order of any

kind for any commodity, unless the commodity represented is actually at

the time in the possession of the corporation; or,

2. Delivers to any person any petroleum or other commodity received

for transportation by such corporation without the presentation and

surrender of all vouchers, receipts, orders or certificates that have

been issued or accepted for the same; or,

3. Having parted with the possession of any commodity and having

received therefor an order, voucher, receipt or certificate, shall

reissue the same, or shall not cause it to be cancelled by the word

"cancelled" stamped or printed legibly across the face thereof, and to

be filed and recorded by such corporation, as provided by law,

Is guilty of a misdemeanor.

Erroneous bills of lading or receipts, issued in good faith,

excepted. No person can be convicted of an offense under the last two

sections, for the reason that the contents of any barrel, box, case,

cask or other vessel or package mentioned in the bill of lading, receipt

or other voucher did not correspond with the description given in such

instrument of merchandise received, if such description corresponds

substantially with the marks, labels or brands upon the outside of such

vessel or package, unless it appears that the defendant knew that such

marks, labels or brands were untrue.

Duplicate receipts must be marked "duplicate." A person

mentioned in sections ninety and ninety-one, who issues any second or

duplicate receipt or voucher, of a kind specified in those sections, at

a time while a former receipt or voucher for the merchandise specified

in such second receipt is outstanding and uncanceled, without writing

across the face of the same the word "duplicate," in a plain and legible

manner, is guilty of a misdemeanor.

Selling, hypothecating or pledging property received for

transportation or storage. A person mentioned in sections ninety and

ninety-one, who sells or pledges any merchandise for which a bill of

lading, receipt or voucher has been issued by him, without the consent

in writing thereto of the person holding such bill, receipt or voucher,

is guilty of a misdemeanor.

Bill of lading or receipt issued by warehouseman must be

canceled on redelivery of the property. A person mentioned in section

ninety, who delivers to another any merchandise for which a bill of

lading, receipt or voucher has been issued, unless such bill of lading,

receipt or voucher bears upon its face the words, "not negotiable,"

plainly written or stamped, or unless such receipt is surrendered to be

canceled at the time of such delivery or a bond, undertaking, letter of

guarantee or indemnity is given in lieu thereof at the time of such

delivery, or unless, in case of a partial delivery, a memorandum thereof

is endorsed upon such bill of lading, receipt or voucher, is guilty of a

misdemeanor.

Property demanded by process of law. The last two sections do

not apply to any case where property is demanded by virtue of legal

process.

Penalty for failure to issue bill of lading. Any person who,

being the owner, master or agent of any vessel transporting merchandise

or property between ports of this state, departs with such vessel or

causes such vessel to depart from the port where such merchandise or

property is taken on board, without giving or tendering to the shipper

of such merchandise or property, if a bill of lading be demanded by such

shipper, a bill of lading or shipping document as provided by section

three hundred ninety-eight of this chapter, is guilty of a misdemeanor.

Issue of bill of lading for goods not received. Any officer,

agent or servant of a common carrier, who with intent to defraud issues

or aids in issuing a bill of lading knowing that all or any part of the

goods for which such bill of lading is issued have not been received by

such common carrier, or by an agent of such common carrier, or by a

connecting common carrier, or are not under the common carrier's control

at the time of issuing such bill, shall be guilty of a misdemeanor.

Issue of bill of lading containing false statement. Any officer,

agent, or servant of a common carrier, who with intent to defraud issues

or aids in issuing a bill of lading for goods knowing that it contains

any false statement, shall be guilty of a misdemeanor.

Issue of duplicate bill of lading not so marked. Any officer,

agent or servant of a common carrier, who with intent to defraud issues

or aids in issuing a duplicate or additional negotiable bill of lading

for goods, other than goods to be transported to any place in the United

States except Alaska and Hawaii, without plainly placing upon the face

thereof the word "duplicate", knowing that a former negotiable bill of

lading for the same goods or any part of them is outstanding and

uncanceled, shall be guilty of a misdemeanor.

Negotiation of bill of lading for goods subject to security

interest or lien. Any person who ships goods to which he has not title,

or which are subject to a security interest, or upon which there is a

lien, and who takes for such goods a negotiable bill of lading which he

afterwards negotiates for value with intent to deceive and without

disclosing his want of title or the existence of the security interest

or lien, shall be guilty of a misdemeanor.

Negotiation of bill of lading when goods are not in common

carrier's possession. Any person who with intent to deceive negotiates

or transfers for value a bill of lading knowing that any or all of the

goods which by the terms of such bill of lading appear to have been

received for transportation by the common carrier which issued the bill

of lading, are not in possession or control of such common carrier, or

of a connecting common carrier, without disclosing this fact, shall be

guilty of a misdemeanor.

Inducing common carrier to issue bill of lading when goods have

not been received. Any person who with intent to defraud secures the

issue by a common carrier of a bill of lading knowing that at the time

of such issue, any or all of the goods described in such bill of lading

as received for transportation have not been received by such common

carrier, or an agent of such common carrier or a connecting common

carrier, or are not under the common carrier's control, by inducing an

officer, agent or servant of such common carrier falsely to believe that

such goods have been received by such common carrier, or are under its

control, shall be guilty of a misdemeanor.

Issue of a non-negotiable bill of lading not so marked. Any

person who with intent to defraud issues or aids in issuing a

non-negotiable bill of lading without the words "not negotiable" placed

plainly upon the face thereof, shall be guilty of a misdemeanor.

Issue of warehouse receipt for goods not received. A

warehouseman, or any officer, agent or servant of a warehouseman, who

issues or aids in issuing a warehouse receipt knowing that the goods for

which such warehouse receipt is issued have not been actually received

by such warehouseman, or are not under his actual control at the time of

issuing such warehouse receipt, shall be guilty of a misdemeanor.

Issue of warehouse receipt containing false statement. A

warehouseman, or any officer, agent or servant of a warehouseman, who

fraudulently issues or aids in fraudulently issuing a warehouse receipts

for goods knowing that it contains any false statement, shall be guilty

of a misdemeanor.

Issue of duplicate warehouse receipt not so marked. A

warehouseman, or any officer, agent or servant of a warehouseman, who

issues or aids in issuing a duplicate or additional negotiable warehouse

receipt for goods knowing that a former negotiable warehouse receipt for

the same goods or any part of them is outstanding and uncanceled,

without plainly placing upon the face thereof the word "duplicate,"

shall be guilty of a misdemeanor.

Issue for warehouseman's goods of warehouse receipts which do

not state the fact. Where there are deposited with or held by a

warehouseman goods of which he is owner, either solely or jointly or in

common with others, such warehouseman, or any of his officers, agents or

servants who, knowing this ownership, issues or aids in issuing a

negotiable warehouse receipt for such goods which does not state such

ownership, shall be guilty of a misdemeanor.

Delivery of goods without obtaining negotiable warehouse

receipt. A warehouseman, or any officer, agent or servant of a

warehouseman who delivers goods out of the possession of such

warehouseman, knowing that a negotiable warehouse receipt the

negotiation of which would transfer the right to the possession of such

goods is outstanding and uncanceled, without obtaining the possession of

such negotiable warehouse receipt at or before the time of such

delivery, shall, except in the cases provided for in sections 7-210 and

7-601 of the uniform commercial code or if the goods have been lawfully

sold or disposed of because of their perishable or hazardous nature, be

guilty of a misdemeanor.

Negotiation of warehouse receipt for goods subject to security

interest or lien. Any person who deposits with a warehouseman goods to

which he has no title, or which are subject to a security interest, or

upon which there is a lien, and who takes for such goods a negotiable

warehouse receipt which he afterward negotiates for value with intent to

deceive and without disclosing his want of title or the existence of the

security interest or lien, shall be guilty of a misdemeanor.

Issue of non-negotiable warehouse receipt not so marked. Any

person who with intent to defraud issues or aids in issuing a

non-negotiable warehouse receipt without the words "not negotiable"

placed plainly upon the face thereof, shall be guilty of a misdemeanor.

Company defined. The term "company," as used in this article,

includes all corporations, whether created under the laws of this state,

or of the United States, or of those of any other state or nation.

Redemption of unused passage tickets. Every person who shall

have purchased a passage ticket from an authorized agent of a railroad

company, which shall not have been used, or shall have been used only in

part, may, within thirty days after the date of the sale of said ticket,

present the same, unused or partly used, for redemption, at the general

office of the railroad company which issued said ticket, or at the

ticket office where said ticket was sold, or at the ticket office at the

point to which the ticket has been used. If said ticket wholly unused,

shall be presented for redemption at the ticket office where sold, the

same shall be then and there redeemed by the agent in charge of said

ticket office at the price paid for said ticket. If said ticket, partly

used, shall be presented for redemption at the ticket office where sold,

or at the ticket office at the point to which used, the ticket agent at

either of said offices, upon delivery of said ticket, shall issue to the

holder thereof a receipt, properly describing said ticket and setting

forth the date of the receipt of said ticket, and the name of the person

from whom received, and shall thereupon forthwith transmit said ticket

for redemption to the general office. It shall be the duty of every

railroad company to redeem tickets presented for redemption, as in this

section provided for promptly and within not to exceed thirty days from

the date of presentation at the general office or from the date of the

aforesaid receipt. A wholly unused ticket shall be redeemed at the price

paid therefor. A partly used ticket shall be redeemed at a rate which

shall be equal to the difference between the price paid for the whole

ticket and the cost of a ticket of the same class between the points for

which said ticket was actually used. Mileage books shall be redeemed

within thirty days after the date of the expiration thereof in the same

manner. Provided, however, that nothing herein contained shall be deemed

to prohibit the requirement by tariff of advance notice of cancellation

as a condition to the redemption or use of passage tickets in connection

with which reserve accommodations have been obtained; provided, further,

that nothing herein contained shall be deemed to prohibit the

establishment by tariff of a service charge for the redemption of wholly

unused or partly used tickets. Every railroad company which shall

wrongfully refuse redemption, as in this section provided for, shall

forfeit to the aggrieved party fifty dollars, which sum may be

recovered, together with the amount of redemption money to which the

party is entitled, in an action in any court of competent jurisdiction,

together with costs; but no such action can be maintained unless

commenced within one year after the cause of action accrued.

Advertising as agent, without written authorization; false or

misleading information.

No person issuing, selling or offering to sell any passage ticket or

any instrument giving or purporting to give any right, either absolutely

or upon any condition or contingency, to a passage or conveyance upon

any vessel, or a berth or stateroom in any vessel, shall hold himself

out to be or advertise himself in any way as the agent of the owners or

consignees of such vessel or line, unless he has received authority in

writing therefor, specifying the name of the company, line or vessel for

which he is authorized to act as agent and the city, town or village,

together with the street, and the street number in which his office is

kept for the sale of tickets, and unless such written authorization is

conspicuously displayed in such office. Provided that this section shall

not apply to the sale of passage tickets on board any such vessel or to

the offices of the actual owners or consignees of such vessel. No person

issuing, selling or offering to sell or holding himself out as being

authorized to sell any such passage ticket or instrument giving or

purporting to give any such right to passage or conveyance shall give or

cause to be given any false or misleading information or shall print,

publish, distribute or circulate or cause to be printed, published,

distributed or circulated any false or misleading advertisement,

circular, circular letter, pamphlet, card, handbill or other printed

paper or notice in regard to said passage ticket or instrument or the

passage or voyage to which it entitles or purports to entitle its owner,

purchaser or holder or line over which, or the vessel for which such

passage is sold or offered or as to his agency for such line or vessel.

No person issuing, selling or offering to sell any passenger ticket for

passage or conveyance aboard any vessel, including the owner or

consignee of such vessel, his agents, servants, or employees, shall omit

reference to the country of registry of such vessel from any

advertisement, circular, circular letter, pamphlet, card, handbill or

other printed paper or written notice, in regard to said passage ticket

or instrument or the passage or voyage to which it entitles or purports

to entitle its owner, purchaser or holder or line over which, or the

vessel for which such passage is sold or offered or as to his agency for

such line or vessel. Such reference shall be prominently displayed in

all printed matter.

Issuance of order or other instrument securing passage by

vessel from foreign port to this state; what to contain. No person

agreeing to furnish or secure for any other person, for a consideration,

passage by vessel from any foreign port to any port in this state shall

issue any advice, order, certificate or other instrument purporting to

entitle one or more persons to a passage ticket or other evidence of a

right of passage, unless every such advise, order, certificate or

instrument shall be signed or countersigned by a duly appointed agent as

provided in section one hundred seventeen, of the vessel or line over

which said advice, order, certificate or other instrument is held out to

be good to secure such passage ticket or other evidence of a right of

passage. Every such order, advice, certificate or other instrument and

every receipt for money paid for or on account of any such advice,

order, certificate or other instrument, shall contain a statement of the

amount paid or to be paid for such passage; the name, address and age of

the person for whom intended; the name of the company or line, if any,

to which the vessel on which passage is to be made belongs; the place

from which such passage is to commence; the place where such passage is

to terminate; the name of the person purchasing such advice, order,

certificate or other instrument, and such advice, order, certificate or

other instrument must be signed by the person who issues it.

Punishment for violation of two preceding sections. Any person

violating any of the provisions of the two preceding sections shall be

guilty of a misdemeanor.

Street railroad or omnibus transfer tickets not to be given

away or sold. No transfer ticket or written or printed instrument

giving, or purporting to give, the right of transfer to any person from

a public conveyance operated upon one line or route of a street surface,

elevated, underground railroad or omnibus line to a public conveyance

upon another line or route of a street surface, elevated, underground

railroad or omnibus line, or from one car or omnibus to another car or

omnibus upon the same line or route of street surface, elevated,

underground railroad or omnibus line shall be issued, sold or given

except to a passenger lawfully entitled thereto. Any person who shall

issue, sell or give away such a transfer ticket or instrument as

aforesaid to a person not lawfully entitled thereto, and any person not

lawfully entitled thereto who shall receive and use or offer for passage

any such transfer ticket or instrument, or shall sell or give away such

transfer ticket or instrument to another with intent to have such

transfer ticket used or offered for passage after the time limited for

its use shall have expired, shall be guilty of a misdemeanor.

Owners, pursers and clerks allowed to sell tickets. The

provisions of this article do not prevent the actual owners or

consignees of any vessel, from selling passage tickets thereon; nor do

they prevent the purser or clerk of any vessel from selling in his

office on board of such vessel, any passage ticket upon such vessel.

Station masters, conductors and agents allowed to sell tickets.

The provisions of this article do not prevent the station master or

other ticket agent upon any railway, from selling in his office at any

station on such railway, any passage tickets upon such railway; nor do

they prevent any conductor upon a railway from selling such tickets upon

the trains of such railway.

What must be stated in passage ticket. A ticket or instrument

issued as evidence of a right of passage upon the high seas, from any

port in this state, to any port of any other state or nation, and every

certificate or order issued for the purpose, or under pretense of

procuring any such ticket or instrument, and every receipt for money

paid for such ticket or instrument must state the name of the vessel on

board of which the passage is to be made, the name of the owners or

consignees of such vessel, the name of the company, or line, if any, to

which such vessel belongs, its country of registry, the place from which

such passage is to commence, the place where such passage is to

terminate, the day of the month and year upon which the voyage is to

commence, the name of the person purchasing such ticket or instrument,

or receiving such order, certificate or receipt, and the amount paid

therefor; and such ticket or instrument, order, certificate or receipt,

unless sold or issued by the owners or consignees of such vessel, must

be signed by their authorized agent.

Sale of tickets not filled out, a misdemeanor. A person who

issues, sells or delivers to another, any ticket, instrument,

certificate, order or receipt, which is not made or filled out as

prescribed in the last section, is guilty of a misdemeanor.

Soliciting the surrender of tickets a misdemeanor. Any hotel,

boarding-house, lodging-house or restaurant owner, proprietor, manager,

clerk or other employee or any runner, guide, porter or solicitor who

solicits in any manner any immigrant or steerage passenger inward or

outward bound, having a railroad or steamship ticket, order or other

instrument entitling or purporting to entitle such passenger to

transportation or conveyance on any railroad or steamship, to surrender

such ticket, order or other instrument to such hotel, boarding-house,

lodging-house or restaurant owner, proprietor, manager or other employee

or to any runner, guide, porter or solicitor or any other person for the

purpose of detaining any such immigrant or steerage passenger in any

such hotel, boarding-house, lodging-house, or restaurant, shall be

guilty of a misdemeanor.

Purchase or selling partially used non-transferable railroad

tickets, a misdemeanor. It shall be unlawful for any person,

association of persons, firm or corporation to buy or sell the unused

portions of non-transferable railroad tickets, the use of which is

restricted to the original purchasers thereof by the railroad company

issuing the same, or to act as vendor or broker of partially used

non-transferable railroad tickets or to solicit personally or by sign or

advertisement or in any other manner to aid in the sale or purchase of

partially used non-transferable railroad tickets. Any person violating

any of the provisions of this section shall be guilty of a misdemeanor.

Unlawful acts relating to passage tickets, reservations or

passenger accommodations. 1. Definitions. Whenever used in this section

a. The term "established tariff charge" is the charge set forth in the

tariff as published and filed by the railroad, parlor or sleeping car

owner or operator, steamship company, air line or bus line involved.

b. The term "passage ticket" includes each passage ticket or

combination of tickets issued by any railroad, parlor or sleeping car

owner or operator, steamship company, air line or bus line, required by

any one passenger for transportation from his original point of

departure to final destination.

c. The term "reservation or passenger accommodation" includes each

reservation or passenger accommodation issued by any railroad, parlor or

sleeping car owner or operator, steamship company, air line or bus line,

for the use of a passenger between his original point of departure and

final destination.

d. The term "charge" shall include any service charge, fee, payment or

consideration required, charged, made or received for rendering the

service of procuring or transferring a ticket, reservation or passenger

accommodation.

e. The terms "procure" and "procurement" shall include procuring by

purchase or otherwise.

2. Any person, whether acting on behalf of himself or another person,

who

a. Sells, resells, or causes to be resold, or offers to sell or

resell, any ticket, reservation or passenger accommodation, at a price

in excess of one dollar above the established tariff charge or charges

therefor; or

b. Procures or possesses or offers to procure any ticket, reservation

or passenger accommodation, with the intent to sell or resell the same,

or to cause the same to be sold or resold, at a price in excess of one

dollar above the established tariff charge or charges; or

c. Requires, makes or receives a charge in excess of one dollar for

the procurement or transfer of a ticket, reservation or passenger

accommodation; or

d. Procures or possesses or offers to procure a ticket, reservation or

passenger accommodation, with the intent to require, make or receive a

charge therefor in excess of one dollar, shall be guilty of a

misdemeanor.

3. Proof of the sale or resale of or offer to sell or resell a ticket,

reservation or passenger accommodation at a price in excess of the

amount or amounts herein specified, shall be presumptive evidence of the

intent specified in subdivision (b) of paragraph two hereof.

4. Proof of the making or receiving of any charge in excess of one

dollar shall be presumptive evidence of the intent specified in

subdivision (d) in paragraph two hereof.

5. The person responsible for the management of each travel agency and

hotel operating within the state of New York shall, within thirty days

after its enactment, cause a copy of this section to be posted in a

conspicuous place upon the premises of the agency or hotel for the

information of patrons, guests and members of the public at large.

6. This section shall not apply to tickets, reservations or passenger

accommodations (a) to or from places outside the continental United

States and Canada, excluding Alaska nor (b) to existing written

contracts between any travel agency and any corporation, firm or

government agency covering tourist or travel services.

Filing of certificates by persons conducting business under

assumed name or as partners. 1. No person shall hereafter (i) carry on

or conduct or transact business in this state under any name or

designation other than his or its real name, or (ii) carry on or conduct

or transact business in this state as a member of a partnership, unless:

(a) Such person, if other than a corporation, limited partnership or

limited liability company, shall file in the office of the clerk of each

county in which such business is conducted or transacted a certificate

setting forth the name or designation under which and the address within

the county at which such business is conducted or transacted, the full

name or names of the person or persons conducting or transacting the

same, including the names of all partners, with the residence address of

each such person, and the age of any person less than eighteen years of

age. Each certificate shall be executed and duly acknowledged by the

person or, if there be more than one, by all of the persons conducting

the business.

(b) Such person, if a corporation, limited partnership or limited

liability company, shall file, together with the fees as set forth in

subdivision five of this section, in the office of the secretary of

state a certificate setting forth the name or designation under which

business is carried on or conducted or transacted, its corporate,

limited partnership or limited liability company name, the location

including number and street, if any, of its principal place of business

in the state, the name of each county in which it does business or

intends to do business, and the location including number and street, if

any, of each place where it carries on or conducts or transacts business

in this state. Each certificate shall be executed by an officer of the

corporation, a general partner of the limited partnership, a member or

manager of a limited liability company, or an attorney-in-fact or

authorized person for such corporation, limited partnership, or limited

liability company, as the case may be. A corporation which carries on or

conducts or transacts business in this state as a member of a

partnership or limited liability company shall not be required solely by

reason thereof to file the certificate required by this paragraph if the

partners shall have filed the certificate required by paragraph (a) of

this subdivision.

1-a. As used in this section, unless the context otherwise requires:

(a) "Person" shall mean an individual, partnership, limited

partnership, corporation, limited liability company and unincorporated

association;

(b) The "real name" of a corporation shall mean its corporate name as

set forth in its certificate of incorporation; the "real name" of a

limited partnership shall mean its name as set forth in its certificate

of limited partnership; the "real name" of a limited liability company

shall mean its name as set forth in its articles of organization and any

generally accepted, understood or recognizable abbreviations of such

names.

(c) The use by a corporation, limited partnership or limited liability

company of a divisional, departmental or trade name or designation, in

conjunction with the real name of the corporation, limited partnership

or limited liability company, shall be deemed to be the use of the real

name of the corporation, limited partnership or limited liability

company, for purposes of this section.

2. (a) No individual, partnership, or unincorporated association shall

hereafter use or file a certificate for the use of any name or

designation to carry on or conduct or transact business in this state

which consists of or includes words, or initials and a word or words,

which are or appear to be the full name or names, or the initial or

initials and family name of a person or persons, or a colorable

simulation thereof, unless:

(1) the words or initials and word or words appearing to be the full

name or initials and family name of a person included, are the true full

name or the initials and family name of the person or one of the persons

conducting the business; or

(2) the words or initials and words so included, which are or appear

to be the full name, or the initials and family name, of any person,

have a secondary, historic or geographic meaning or connotation apart

from that of a name of a person, and the name or designation so used

contains a word or words clearly signifying such secondary, historic or

geographic meaning or connotation, or is followed by the abbreviation

"a.n.", and said secondary, historic or geographic meaning or

connotation is stated in the certificate; or

(3) the person or persons conducting the business are successors in

interest to the person or persons theretofore using such name or names

to carry on or conduct or transact business, in which case the

certificate filed shall so state.

(b) Paragraph (a) of this subdivision shall not apply to corporations,

limited partnerships, or limited liability companies.

(c) No corporation, limited partnership or limited liability company

shall use or file a certificate for the use of any name or designation

to carry on or conduct or transact business in this state which consists

of or includes a word or words the use of which is prohibited or

restricted by subparagraphs three through eleven of paragraph (a) of

section three hundred one of the business corporation law or

subparagraphs three through nine of paragraph (a) of section three

hundred one and paragraph (w) of section four hundred four of the

not-for-profit corporation law, or paragraph three of subdivision (a) of

section 121-102 of the partnership law, or subdivisions (d) through (i)

of section two hundred four of the limited liability company law,

respectively, without having obtained any necessary consents or

approvals which would permit the use of the word or words pursuant to

such laws.

3. Whenever a certificate which has been filed under this section does

not accurately set forth the facts required by this section, or within

thirty days after there has been a change in such facts, an amended

certificate shall be filed which shall identify the original certificate

and incorporate the corrections or changes. If such amended certificate

is filed for the purpose of adding or withdrawing the name of any person

to the original certificate as a person conducting a business or as a

partner, such amended certificate must be executed by such person and by

any one or more of the other persons named in the original or last

amended certificate, unless otherwise provided by an order of the

supreme court. Any other amended certificate may be executed by any one

or more of the persons named therein as a person conducting the business

or as a partner or, in the case of a corporation, by an officer of the

corporation, in the case of a limited partnership, by a general partner

of the limited partnership, or in the case of a limited liability

company, by a member or manager of the limited liability company, or by

an attorney-in-fact or authorized person for such corporation, limited

partnership, or limited liability company, as the case may be.

4. A certified copy of the original certificate, or if an amended

certificate has been filed, then of the most recent amended certificate

filed shall be conspicuously displayed on the premises at each place in

which the business for which the same was filed is conducted.

5. (a) (1) The several county clerks of this state shall keep an

alphabetical index of all certificates, provided for herein, together

with appropriate notations of the nature of amended certificates and

certificates of discontinuance, and for the indexing and filing of such

certificates, they shall receive a fee as specified in paragraph two of

subdivision (b) of section eight thousand twenty-one of the civil

practice law and rules.

(2) A county clerk may adopt a new indexing system utilizing

electro-mechanical, electronic or any other method he deems suitable for

maintaining the indexes.

(b) (1) The secretary of state shall keep an alphabetical index of all

certificates filed pursuant to paragraph (b) of subdivision one of this

section, together with appropriate notations of the nature of amended

certificates and certificates of discontinuance; and for the indexing

and filing of such certificates, the secretary of state shall receive a

fee of twenty-five dollars ($25.00).

(2) The secretary of state shall also collect from each corporation

filing an assumed name certificate the fee or fees, as specified in

paragraph two of subdivision (b) of section eight thousand twenty-one of

the civil practice law and rules, for each county in which the

corporation does business or transacts business or intends to do or

transact business, as indicated in the certificate. Any fee or fees

collected by the secretary of state for filing a certificate or

certificates with a county clerk shall be transmitted to such county

clerk together with a copy of such certificate or certificates, for

indexing and filing as provided above, within ten (10) business days of

the last day of the month in which such fees and certificates were

received by the secretary of state. The secretary of state shall also

transmit to the appropriate county clerk or clerks within such ten-day

period a copy of any amended certificates or certificates of

discontinuance received by the secretary of state for filing in such

counties.

6. A copy of a certificate filed under the provisions of this section,

duly certified to by the county clerk or secretary of state in whose

office the certificate is filed, shall be presumptive evidence in all

courts of this state of the facts therein contained; provided, however,

that neither the certificate itself nor the filing thereof shall, for

any purpose other than this section, constitute or be construed as an

admission by the filing person, or be used as evidence, that such person

does or has done business or has carried on, conducted or transacted

business in this state or any county therein, or intended to do so.

7. Subdivision one of this section shall not apply to a person who, or

a partnership which, has duly filed a certificate of continued use of

firm name under article seven of the partnership law, or to a private

banker duly authorized by the superintendent of financial services to

engage in business pursuant to the provisions of the banking law or to a

partnership of attorneys and counsellors-at-law engaged in the practice

of their profession, and subdivision three of this section shall not

apply to such a person or partnership who has filed a certificate of

discontinuance under subdivision ten of this section.

8. The failure to comply with the provisions of this section shall in

no way affect the rights of third persons, nor shall this section be

deemed or construed to limit the liability of partners under the

provisions of the partnership law.

8-a. The acceptance of a certificate by the county clerk or the

secretary of state for filing pursuant to the provisions of this section

shall not be construed to confer any right to or interest in any trade

name; nor shall any of the provisions of this section be construed to

affect the rights to, or the enforcement of any rights to, any trade

name acquired at any time under the common law of this state.

9. Any person or persons carrying on, conducting or transacting

business as aforesaid, who knowingly fails to comply with the provisions

of this section or who knowingly makes a false statement in a

certificate filed thereunder shall be guilty of a misdemeanor. Any

person or persons carrying on, conducting or transacting business as

aforesaid who fails to comply with the provisions of this section shall

be prohibited from maintaining any action or proceeding in any court in

this state on any contract, account or transaction made in a name other

than its real name until the certificate required by this section has

been executed and filed in accordance with the provisions set forth

herein.

10. If the business for which a certificate is filed under this

section is discontinued, or the conditions under which it is conducted

are such that the filing of a certificate in such county or with the

secretary of state is no longer required, a certificate of

discontinuance may be filed with the county clerk with whom the original

certificate was filed or, if a corporation, limited partnership, or

limited liability company, with the secretary of state, identifying such

certificate and also identifying the amended certificate, if any, last

previously filed and certifying the facts by reason of which the filing

of a certificate is no longer required. The certificate of

discontinuance shall be executed in the same manner as an original

certificate and shall specify the date on which the discontinuance

occurred or the conditions under which the business is conducted changed

so that the filing of a certificate is no longer required. The county

clerk or, if a corporation, limited partnership, or limited liability

company, the secretary of state shall note the discontinuance in the

index. A certificate of discontinuance shall be executed by a majority

of the persons named in the original certificate or the amended

certificate last previously filed as persons conducting or transacting

the business or as partners or, in the case of a corporation, by an

officer of the corporation, in the case of a limited partnership, by a

general partner of the limited partnership, or in the case of a limited

liability company, by a member or manager of the limited liability

company, or by an attorney-in-fact or authorized person for such

corporation, limited partnership, or limited liability company, as the

case may be, provided that if any of them shall be deceased the

certificate shall so state and may be executed by a majority of the

survivors, or by the executor or administrator of a deceased person

named in the original certificate or last previously filed amended

certificate as the only person conducting or transacting the business,

and provided further that any such signatures may be dispensed with by

order of the supreme court.

11. Notwithstanding any other provision of this section, an education

corporation may not file a certificate under this section with the

secretary of state, unless the consent of the board of regents is

endorsed on or annexed thereto. Nothing in this subdivision shall

invalidate a certificate lawfully filed by an education corporation

pursuant to this section prior to the effective date of this

subdivision.

Ownership of merchandise establishments and services to be

publicly revealed and displayed. Every person, partnership, association

or corporation owning or conducting any shop, store or other

establishment or service wherein the sale of merchandise at retail or

wholesale is carried on or transacted or a service is performed as a

business shall cause the true, full name, including the full first name

or legally registered trade name or names of the proprietor or owner or

proprietors or owners of such shop, store or other establishment or

service to be publicly revealed and prominently and legibly displayed in

the English language either upon a window of such shop, store or other

establishment or place where a service is performed or upon a sign

conspicuously placed upon the exterior of the building containing the

same. The foregoing provisions shall not apply to a person, partnership,

association or corporation operating under a lease, a department in a

shop, store or other establishment or service as aforesaid where the

lessor of such shop, store or other establishment or service is liable

to customers for merchandise sold by and the operations of such leased

department. Failure to comply with the provisions of this section shall

constitute a misdemeanor.

Fictitious copartnership names. 1. A person who transacts

business, using the name, as a partner, of one not interested with him

as a partner, or using the designation "and company," or "& Co." when no

actual partner is represented thereby is guilty of a misdemeanor. This

section shall not apply to any case, where it is specially prescribed by

statute that a partnership name may be continued in use by a successor,

survivor, or other person.

2. Provided, however, that nothing in this section shall be construed

to prohibit the use of the designation "and associates" or "&

associates" by a professional or professionals who actually practice

such profession with or employ one or more other professionals engaged

in such profession.

Use of name or address with intent to deceive. No person, firm

or corporation shall, with intent to deceive or mislead the public,

assume, adopt or use as, or as part of, a corporate, assumed or trade

name, for advertising purposes or for the purposes of trade, or for any

other purpose, any name, designation or style, or any symbol or

simulation thereof, or a part of any name, designation or style, or any

symbol or simulation thereof, which may deceive or mislead the public as

to the identity of such person, firm or corporation or as to the

connection of such person, firm or corporation with any other person,

firm or corporation; nor shall any person, firm or corporation, with

like intent, adopt or use as, or as part of, a corporate, assumed or

trade name, for advertising purposes, or for the purposes of trade, or

for any other purpose, any address or designation of location in the

community which may deceive or mislead the public as to the true address

or location of such person, firm or corporation. A violation of this

section shall be a misdemeanor. Whenever there shall be an actual or

threatened violation of this section, an application may be made to a

court or justice having jurisdiction to issue an injunction, upon notice

to the defendant of not less than five days, to enjoin and restrain such

actual or threatened violation; and if it shall appear to the

satisfaction of the court or justice that the defendant is in fact

assuming, adopting or using such name, or is about to assume, adopt or

use such name, and that the assumption, adoption or use of such name may

deceive or mislead the public, an injunction may be issued by said court

or justice, enjoining and restraining such actual or threatened

violation without requiring proof that any person has in fact been

deceived or misled thereby.

Fraudulent use of the name or title of secret fraternity. Any

person, firm, association, society, order or organization, or any

officer, agent, representative or employee thereof, or person acting or

pretending to act on behalf thereof who in a newspaper or other

publication published in this state, or in any letter, writing,

circular, paper, pamphlet or other written or printed notice, matter or

device without authority of the grand lodge hereinafter mentioned

fraudulently uses, or in any manner directly or indirectly aids in the

use of the name or title of any secret fraternal association, society,

order or organization which has had a grand lodge in this state for ten

years, or any imitation of such name or title or any name or title so

nearly resembling it as to be calculated to deceive, or who without

authority publishes, sells, lends, gives away, circulates or distributes

any letter, writing, circular, paper, pamphlet or other written or

printed notice, matter or device directly or indirectly advertising for

or soliciting members or applications for membership in such secret

fraternal association, society, order or organization, or in any alleged

or pretended association, society, order or organization, using or

designated or claimed to be known by such title or imitation or

resemblance thereof or who therein or thereby offers to sell, or to

confer or to communicate or to give information directly or indirectly

where, how, of whom, or by what means any alleged or pretended degree or

any alleged or pretended secret work or any alleged or pretended secrets

of such secret fraternal association, society, order or organization or

any alleged or pretended association, society, order or organization

designated or claimed to be known by such title or imitation or

resemblance thereof can or may be obtained, conferred or communicated,

is guilty of a misdemeanor.

Unlawful use of name of benevolent, humane or charitable

corporation. No person, society or corporation shall, with intent to

acquire or obtain for personal or business purposes a benefit or

advantage, assume, adopt or use the name of a benevolent, humane or

charitable organization incorporated under the laws of this state, or a

name so nearly resembling it as to be calculated to deceive the public

with respect to any such corporation. A violation of this section shall

be a misdemeanor. Whenever there shall be an actual or threatened

violation of this section, an application may be made to a court or

justice having jurisdiction to issue an injunction, upon notice to the

defendant of not less than five days, for an injunction to enjoin and

restrain said actual or threatened violation; and if it shall appear to

the satisfaction of the court or justice that the defendant is in fact

using the name of a benevolent, humane or charitable organization,

incorporated as aforesaid, or a name so nearly resembling it as to be

circulated to deceive the public, an injunction may be issued by said

court or justice, enjoining and restraining such actual or threatened

violation, without requiring proof that any person has in fact been

misled or deceived thereby.

Exhibition or display of the flag. Any person who: a. In any

manner, for exhibition or display, shall place or cause to be placed,

any word, figure, mark, picture, design, drawing, or any advertisement,

of any nature upon any flag, standard, color, shield or ensign of the

United States of America, or the state of New York, or shall expose or

cause to be exposed to public view any such flag, standard, color,

shield or ensign, upon which after the first day of September, nineteen

hundred and five, shall have been printed, painted or otherwise placed,

or to which shall be attached, appended, affixed or annexed, any word,

figure, mark, picture, design, or drawing, or any advertisement of any

nature, or

b. Shall expose to public view, manufacture, sell, expose for sale,

give away, or have in possession for sale, or to give away, or for use

for any purpose, any article, or substance, being an article of

merchandise, or a receptacle of merchandise or article or thing for

carrying or transporting merchandise, upon which after the first day of

September, nineteen hundred five, shall have been printed, painted,

attached, or otherwise placed, a representation of any such flag,

standard, color, shield or ensign, to advertise, call attention to,

decorate, mark, or distinguish, the article or substance on which so

placed, or

c. Shall print, engrave, or otherwise place or cause to be printed,

engraved or otherwise placed on any blank check, bill head, letter head,

envelope or other business stationery, a representation of any such

flag, standard, color, shield or ensign, or shall use any such blank

check, bill head, letter head, envelope or other stationery for business

purposes or correspondence, or

d. Shall publicly mutilate, deface, defile, or defy, trample upon, or

cast contempt upon either by words or act, or

e. Shall raffle or place in pawn any such flag, standard, color,

shield or ensign, or

f. Shall publicly carry or display any emblem, placard or flag which

casts contempt, either by word or act, upon the flag of the United

States of America, or

g. Shall publicly use or cause any such flag, standard, color, shield

or ensign, to be publicly used as a receptacle for the placing,

depositing or collecting of money or any other article or thing, shall

be guilty of a misdemeanor.

The words flag, standard, color, shield or ensign, as used in this

section, shall include any flag, standard, color, shield or ensign, or

any picture or representation, of either thereof, made of any substance,

or represented on any substance, and of any size, evidently purporting

to be, either of, said flag, standard, color, shield or ensign, of the

United States of America, or of the state of New York, or a picture or a

representation, of either thereof, upon which shall be shown the colors,

the stars, and the stripes, in any number of either thereof, or by which

the person seeing the same, without deliberation may believe the same to

represent the flag, colors, standard, shield or ensign of the United

States of America or of the state of New York.

This section shall not apply to any act expressly permitted by the

statutes of the United States of America, or by the United States army

and navy regulations, nor shall it be construed to apply to a

certificate, diploma, warrant, or commission of appointment to office,

ornamental picture, article of jewelry, stationery for use in private

correspondence, or newspaper or periodical, on any of which shall be

printed, painted or placed, said flag, standard, color, shield or ensign

disconnected and apart from any advertisement.

The possession by any person, other than a public officer, as such, of

any such flag, standard, color, shield or ensign, on which shall be

anything made unlawful at any time by this section, or of any article or

substance or thing on which shall be anything made unlawful at any time

by this section shall be presumptive evidence that the same is in

violation of this section, and was made, done or created after the first

day of September, nineteen hundred five, and that such flag, standard,

color, shield or ensign, or article, substance, or thing, did not exist

on the first day of September, nineteen hundred and five.

Unauthorized wearing or use of badge, name or insignia of

certain orders and societies. 1. Any person who wilfully wears, or

attaches to any motor vehicle, the badge, insignia, rosette or the

button of the Grand Army of the Republic, the insignia, badge or rosette

of the Military Order of the Loyal Legion of the United States or

Military Order of Foreign Wars of the United States, or the badge or

button of the United Spanish War Veterans, the Veterans of Foreign Wars

of the United States, the American Legion, the Disabled American

Veterans, the Military Order of the World War, the Army and Navy Union,

U.S.A., or the Order of Patrons of Husbandry, or the Benevolent and

Protective Order of Elks of the United States of America, or the Steuben

Society of America, or the Jewish War Veterans of the United States,

Inc., or the Catholic War Veterans, Inc., or the insignia or emblem of

the Italian American War Veterans of the United States, Incorporated, or

the insignia or emblem of the National Italo-American War Veterans,

Inc., the insignia or emblem of the Polish Legion of American Veterans,

Inc., or the insignia or emblem of the Military Order of the Purple

Heart, Inc., or the insignia or emblem of any lodge, society or

organization subordinate to or recognized as Masonic by the Grand Lodge

of Free and Accepted Masons of the State of New York, or the insignia or

emblem of the Masonic War Veterans of the State of New York, Inc., or

the insignia or emblem of the Order of the Eastern Star of the State of

New York, or the badge, banner, insignia, button or emblem of any lodge,

society or organization subordinate to or recognized as Pythian by the

Grand Lodge, Knights of Pythias of the State of New York, or the badge,

insignia, button, tab, or chapeaux of La Societe des Forty Hommes et

eight Chevaux or the Marine Corps League, or AMVETS, American Veterans

of World War II, Air Force Association, or the insignia or emblem of the

Knights of Columbus, or the badge, shield, emblem or name of the Police

Conference of New York, Inc., or the badge, shield, emblem or name of

the New York State Association of Chiefs of Police, or the shield of the

Westchester County Police Conference or the badge, shield, emblem or

name of the New York State Fire Fighters Association, or the badge,

shield, emblem or name of the Policemen's Benevolent Association of

Westchester County, Inc., or the badge, shield, emblem or name of the

Metropolitan Police Conference of Eastern New York, Inc., or the badge,

shield, emblem or name of the Nassau Police Conference, Inc., or the

badge, shield, emblem or name of the International Veterans Boxers

Association, or the badge, shield, emblem, insignia or name of the Grand

council of Guardians, Inc., or the badge, shield, emblem or name of the

New York Veteran Police Association, or the insignia, emblem, badge,

banner, button of Grand Lodge of the State of New York, Order Sons of

Italy in America, Incorporated, or any subordinate Lodge or Grand Lodge

of the State of New York, Order Sons of Italy in America, Incorporated,

or the insignia, emblem, badge, banner, button of Ladies' Lodges, Grand

Lodge of the State of New York, Order Sons of Italy in America,

Incorporated, or the badge, banner, insignia, button or emblem of any

clan of the United Scottish Clans of New York and New Jersey, or the

insignia, emblem, badge, banner or button of The Ladies Auxiliary,

Italian American War Veterans of the United States, Incorporated, or the

Civil Air Patrol, Inc., or the insignia, emblem, badge, banner or button

of the Order of the American Hellenic Educational Progressive

Association, Incorporated, or the insignia, emblem, badge, banner or

button of the Polish Legion of American Veterans or Ladies Auxiliary of

Polish Legion of American Veterans, or the insignia, emblem, badge,

banner, or button of the Veterans of World War I of the United States of

America Department of New York, Inc., China-Burma-India Veterans

Association, Inc., Polish - American Veterans of World War II,

Amsterdam, N. Y., Inc., Polish-American Veterans of World War II,

Schenectady, N. Y., Inc., World War Veterans Club of Lindenhurst, Inc.,

the Eastern Paralyzed Veterans Association, the Vietnam Veterans of

America, the Army and Navy Union of the United States, the American Gold

Star Mothers, Inc., Regular Veterans Association, Inc., the 369th

Veterans Association, Inc., the Tri-County Council of Vietnam Veterans,

the National Congress of Puerto Rican Veterans, or the Fleet Reserve

Association, or the badge, insignia, rosette or button of any society,

order or organization of ten years standing in the state of New York, or

uses the same, or the name of any such society, order or organization by

falsely representing himself to be a member thereof in good standing, to

obtain, or in attempting to obtain, aid or assistance within the state,

or wilfully uses the names of any such society, order or organization,

or the titles of its officers, or uses its insignia or emblems, or the

forms or designs thereof, or its ritual or ceremonies unless entitled to

use or wear the same under the constitution and by-laws, rules, and

regulations of such order or of such society, order or organization, is

guilty of a violation punishable by a fine not to exceed one hundred

dollars.

2. Nothing herein contained shall be construed as superseding any

provision of law prohibiting certain use and display on private vehicles

of state and other seals and insignia and of specified signs, lettering

or devices.

Use of certain governmental, military or naval names. 1. It

shall be unlawful and is prohibited for any person, firm, corporation or

association, not an agency or instrumentality of the United States

government, selling or offering for sale goods, wares or merchandise, to

use or cause or permit to be used in the corporate or trade name or

description of the seller or of the place where the goods, wares or

merchandise are offered for sale, any of the following words or

expressions, viz., "army," "navy," "marine corps," "marines," "coast

guard," "government," "post exchange," "P. X.," or "G. I.," unless there

is displayed in conjunction therewith, in letters of at least the same

size as such words or expressions, the words, "we sell articles acquired

from the United States government only," or "we sell both articles

acquired from the United States government and non-government articles,"

as the case may be.

2. No person, firm, corporation or association selling or offering for

sale any article of merchandise, shall in any manner represent, contrary

to fact, that the article was made for, or acquired directly or

indirectly from, the United States government or its military or naval

forces or any agency of the United States government, or that the

article conforms to government specifications or requirements, or that

it has been disposed of by the United States government.

Wearing industry badges, or other insignia of identification by

unauthorized persons. An employer of labor may adopt a badge, or other

insignia of identification, to be worn or displayed by the employees for

the purpose of identification while upon the premises of the employer

and may post a notice of the adoption of such badge, or insignia, near

the main entrance of such premises. Such employer may deposit with the

department of labor a replica of such badge or insignia, and such

department shall, if such badge or insignia be distinctive, issue to

such employer a certificate authorizing the use thereof for the purposes

of this section. Any person who, after the approval and adoption of such

badge, or insignia, without authority or permission of the employer

adopting the same, wilfully wears such badge or displays such insignia,

or any facsimile or any imitation thereof, or uses the same to obtain

admittance to or remain upon the premises of the employer, is guilty of

a misdemeanor.

Unlawful use of the name United Nations. No person, firm or

corporation shall, without express authority from the secretary general

of the United Nations, assume, adopt or use as, or as a part of a

corporate, assumed or trade name, for advertising purposes, or for the

purposes of trade, or for any other purpose, the name United Nations, or

abbreviation thereof; or any official emblem or other official insignia

thereof; nor shall any person, firm or corporation, with intent to

deceive or mislead the public, for any of such purposes, assume, adopt

or use any name, designation or style, or simulation thereof, or

designation or style, or simulation thereof, which may deceive or

mislead the public as to the true identity of such person, firm or

corporation or as to the official connection of such person, firm or

corporation with the United Nations. A violation of this section shall

be a misdemeanor. Whenever there shall be an actual or threatened

violation of this section, an application may be made to a court or

justice having jurisdiction to issue an injunction, upon notice to the

defendant of not less than five days, to enjoin and restrain such actual

or threatened violation; and if it shall appear to the satisfaction of

the court or justice that the defendant is in fact, assuming, adopting

or using such name, or is about to assume, adopt or use such name, and

that the assumption, adoption or use of such name was not expressly

authorized by the secretary general of the United Nations, and may

deceive or mislead the public, an injunction may be issued by such court

or justice, enjoining and restraining such actual or threatened

violation without requiring proof that any person has in fact been

deceived or mislead thereby. This section shall not prevent the

continued use of a corporate name or trade name heretofore lawfully

used.

Unlawful possession or use of an identification card issued by

United Nations. It shall be unlawful for any person to possess or use an

identification card issued to another person by the United Nations. Any

person finding or otherwise coming into possession of the identification

card of another person shall forthwith surrender the same to the

official in command at the headquarters of the United Nations or to any

police officer or peace officer of the state. Any person who wilfully

violates any provisions of this section shall be guilty of a misdemeanor

punishable upon conviction by a fine of not more than fifty dollars or

by imprisonment of not more than ten days, or both.

False identification documents. 1. As used in this section,

"false identification document" means any document, including a personal

identification card, which is of a type intended or commonly used or

accepted for the purpose of identification of individuals and which is

not issued by or under the lawful authority of the named or indicated

issuer. "False identification document" shall also include a personal

identification document intended or commonly used or accepted for the

purpose of identification which resembles or is intended to resemble one

issued by the named or indicated issuer even though that issuer may be

fictitious.

2. No person, firm or corporation shall produce, advertise, offer for

sale, sell, distribute or otherwise transfer in this state any false

personal identification document unless such document bears the word

"NOVELTY" diagonally printed clearly and indelibly on both the front and

back of such document in capital letters in not less than twelve point

type.

3. Whenever there shall be a violation of this section, an application

may be made by the attorney general in the name of the people of the

state of New York or by the corporation counsel for any city or by an

attorney properly designated by the governing body to represent any

other political subdivision, to a court or justice having jurisdiction

by a special proceeding to issue an injunction, and upon notice to the

respondent of not less than five days, to enjoin and restrain the

continuance of such violations; and if it shall appear to the

satisfaction of the court or justice that the respondent has, in fact,

violated this section, an injunction may be issued by such court or

justice, enjoining and restraining any further violation, without

requiring proof that any person has, in fact, been injured or damaged

thereby. Whenever the court shall determine that a violation of this

section has occurred, the court may impose a civil penalty of not more

than five hundred dollars for each violation. In connection with any

such proposed application, the attorney general, corporation counsel or

other properly designated attorney, as the case may be, is authorized to

take proof and make a determination of the relevant facts and to issue

subpoenas in accordance with the civil practice law and rules. Each sale

of a false identification document shall constitute a separate and

distinct violation.

Short title. This article shall be known and may be cited as

the "domain names cyber piracy protections act".

Definitions. For the purposes of this article, the following

terms shall have the following meanings:

1. "Domain name" means any alphanumeric designation that is registered

with or assigned by any domain name registrar, domain name registry, or

other domain name registration authority as part of an electronic

address on the internet.

2. "Internet" means the international computer network of both federal

and non-federal interoperable packet switched data networks.

3. "Traffic in" refers to transactions that include, but are not

limited to, sales, purchases, loans, pledges, licenses, exchanges of

currency, or any other transfer for consideration or receipt in exchange

for consideration.

Unlawful registration of domain name. 1. No person or entity

shall register a domain name that consists of the name of another living

person, or a name substantially and confusingly similar thereto, without

that person's or entity's consent, with the specific intent to profit

from such name by selling the domain name for financial gain to that

person or any third party.

2. A person or entity shall be only liable for a violation of

subdivision one of this section if such person or entity is the domain

name registrant or such registrant's authorized licensee.

3. A person or entity who in good faith registers a domain name

consisting of the name of another living person, or a name substantially

and confusingly similar thereto, shall not be liable under this section

if such name is used in, affiliated with, or related to a work of

authorship protected under title 17 USC, including a work made for hire

as defined in 17 USC 101, and if the person or entity registering the

domain name is the copyright owner or licensee of the work, the person

or entity intends to sell the domain name in conjunction with the lawful

exploitation of the work, and such registration is not prohibited by a

contract between the registrant and the named person.

Civil remedies. 1. Upon the commission of a violation of this

article, an application may be made by the attorney general to a court

having jurisdiction to issue an injunction against the person or entity

that registered the domain name in violation of this article, and upon

notice to the respondent of not less than five days, the court may award

injunctive relief, including the forfeiture or cancellation of the

domain name. Upon receipt of a court order for injunctive relief, the

registrar, domain name registry or other domain name registration

authority with which the person or entity has registered the domain name

with, shall comply with such order's requirements. If it shall appear to

the satisfaction of the court that the person or entity who registered

the domain name with the registrar, domain name registry or other domain

name registration authority, has committed a violation of this article,

the court shall enjoin and restrain such person or entity from any

further violation without requiring proof that any person has, in fact,

been injured or damaged thereby.

2. In addition to injunctive relief, the court may fine the person or

entity that registered a domain name in violation of this article, one

thousand dollars for each day the violation occurs. The court may also

order the transfer of the domain name as part of the relief awarded.

3. The registrar, domain name registry or other domain name

registration authority shall not be liable for injunctive or monetary

relief under this section except in the case of bad faith or reckless

disregard, which includes a willful failure to comply with any court

order.

4. In a civil action commenced under this section, a domain name shall

be deemed to have its situs within the state if the domain name

registrar, registry, or other domain name authority that registered or

assigned the domain name is located within the state.

Shooting ranges. 1. In any action or proceeding commenced

against an owner or user of a shooting range where one or more causes of

action asserts a claim based on noise or noise pollution resulting from

the inherent shooting activity on such shooting range, it shall be an

affirmative defense that, at the time of the commencement of the action

or proceeding, the shooting range is in compliance with any applicable

noise control laws or ordinances, or, if the applicable noise control

laws or ordinances have no legal force and effect against such owner or

user or there are no applicable noise control laws or ordinances at the

time of the effective date of this section, then the A-weighted sound

level of small arms fire on the shooting range does not exceed 90 dB(A)

for one hour out of a day, or does not exceed 85 dB(A) for eight hours

out of a day measured at, or adjusted to, a distance of one hundred feet

outside the real property boundary of the shooting range. An owner or

user may move for judgment dismissing one or more causes of action

asserted against him on the ground that a cause of action cannot be

maintained because of such affirmative defense.

2. Nothing in this section shall in any way limit the rights or

remedies which are otherwise available to a person under any other law.

3. Notwithstanding the provisions of subdivisions one and two of this

section, no shooting range shall be operated during the period from

10:00 PM until 7:00 AM unless a local law or ordinance specifically

authorizes the operation of a shooting range during all or any portion

of such time period.

4. For the purposes of this section:

(a) "Shooting range" shall mean an outdoor range equipped with targets

for use with firearms and shall include, but not be limited to, all

rifle, pistol and shotgun ranges.

(b) "A-weighted sound level" shall mean the sound pressure level

measured by the use of an instrument with the metering characteristics

and A-weighting frequency response prescribed by sound level meters

using the impulse response mode.

(c) "Sound pressure level" shall mean twenty times the logarithm to

the base ten of the ratio of the root mean squared pressure of a sound

to a reference pressure of twenty micropascals. The unit applied to this

measure shall be the decibel (dB).

(d) "Small arms" shall mean projectile firearms of small caliber,

including rifles, pistols, and shotguns.

Legislative intent. It is hereby determined and declared that

the promotion of travel, either individually or as a group, is now of

such volume that it is in the public interest to subject it to the

supervision of the appropriate political subdivisions of the state for

the purpose of safeguarding the public against fraud, false advertising,

misrepresentation and similar abuses.

Short title. This act shall be known and may be cited as the

"truth in travel act."

Definitions. 1. "Travel consultant" means any person, firm,

corporation, partnership or association, other than a common carrier or

employee of a common carrier, who as principal or agent, sells or offers

for sale any travel tickets or orders for transportation, or negotiates

for or holds himself out by solicitation, advertisement or otherwise as

one who sells, provides, furnishes contracts or arranges for such travel

tickets or orders for transportation.

For the purposes of this article, "carrier" means any person, firm,

corporation, partnership or association engaged in the business of

transporting persons for hire.

2. "Travel promoter" means any person, firm, corporation, partnership

or association, other than a common carrier or employee of a common

carrier, who is primarily engaged in the direct solicitation of persons,

by mail or telephone, for the sale of any travel or vacation

investments, goods, products, or services, including, but not limited to

travel or tour benefits, real property, interests in real property, time

shares, lodging, commodities, or securities. For purposes of this

article, a "travel promoter" does not include:

a. A person, firm, corporation, partnership or association that is an

officially appointed agent of a common carrier and meets standards no

less than those required on January first, nineteen hundred eighty-nine,

for authorized agents of the airline reporting corporation.

b. A person, firm, corporation, partnership or association that is a

registered member in good standing of the Cruise Lines International

Association and who solely solicits and/or sells travel services and

products as an officially appointed agent of one or more ocean carriers

in the sale of the ocean carrier's travel services pursuant to the

agency appointment.

c. A broker-dealer registered with the securities and exchange

commission or the department of law who is engaged in the sale of

securities or commodities or sale or rental of real estate pursuant to

its registration.

3. "Travel services" means transportation, accommodations in lodgings

such as hotels, motels or motor courts, rental of motor vehicles, or any

other service related to travel. For purposes of this article, "travel

services" shall include investments in time shares.

4. "Time share" means an interest in any arrangement, plan, scheme, or

similar device, whether by membership, agreement, tenancy in common,

sale, lease, deed, rental agreement, license, or right-to-use agreement

or by any other means, whereby three or more purchasers, in exchange for

a consideration, receive ownership rights in or a right to use the same

accommodations or facilities in real property, or both, for different

intervals of less than a full year during any given year, but not

necessarily for consecutive years, and which extend for a period of more

than three years or which, for nominal consideration, may be renewed to

continue for a period of more than three years.

5. "Merchant account number" means an identifying number given by a

credit card issuer to a merchant for purposes of identifying the

merchant in the processing of credit card charges and purchases.

Travel agreements. 1. When a person agrees, in response to a

solicitation by a travel promoter which is directed to the person

individually, to purchase membership in a travel club or to enter into

any travel services contract or other agreement to accept

transportation, lodging, an interest or investment in a time share plan,

travel investments, or other travel services, the travel promoter must

provide such purchaser with written disclosure of all limitations on and

terms of such purchase or agreement within five business days of the

date of the agreement. Such disclosure shall clearly and conspicuously

include:

a. the name, business address and telephone number of the travel

promoter;

b. the amount due, the date of payment, the purpose of the payment and

an itemized statement of the balance due, if any;

c. the name of the carrier with which the travel promoter has

contracted to provide the transportation, the type and size of carrier

to be used, and the date, time and place of each departure;

d. a detailed description of any other services provided in

conjunction with the transportation;

e. conditions, if any, upon which the travel services contract between

the travel promoter and the traveler may be cancelled, and the rights

and obligations of all parties in the event of such cancellation;

f. the conditions, if any, upon which the travel services contract

between the travel promoter and the carrier or other service provider

may be cancelled, and the rights and obligations of all parties in the

event of such cancellation; and

g. a description of all contingencies, limitations and/or conditions

of the agreement.

2. After receipt of full written disclosure, the purchaser may cancel

such an agreement until midnight of the third business day after the

disclosure is received by the purchaser, by use of the form prescribed

in subdivision three of this section; however, notice of cancellation

need not take the form prescribed and shall be sufficient if it

indicates the intention of the buyer not to be bound. Notice of

cancellation, if given by mail, shall be deemed given when deposited in

a mailbox, properly addressed and postage prepaid.

3. The written disclosure shall include, in addition to the

requirements of subdivision two of this section, the following statement

printed in capital and lower case letters of not less than ten point

bold faced type:

YOU MAY CANCEL THIS TRANSACTION, WITHOUT ANY PENALTY OR

OBLIGATION, WITHIN THREE BUSINESS DAYS FROM THE RECEIPT OF THIS

DISCLOSURE.

TO CANCEL THIS TRANSACTION, MAIL OR DELIVER A SIGNED AND DATED

COPY OF THIS CANCELLATION NOTICE OR ANY OTHER WRITTEN NOTICE OR

SEND A TELEGRAM TO

(Name of Seller), AT (Address of seller)

______________________________ ___________________________

NOT LATER THAN

MIDNIGHT OF THE THIRD DAY

AFTER RECEIPT OF THIS

___________________________ DISCLOSURE

(Place of Business)

__________________________

__________________________

(Date)

I HEREBY CANCEL THIS TRANSACTION

(Date)

______________________________

(Purchaser's Signature)

4. Until the written disclosure required by subdivision one of this

section has been received, the purchaser may cancel the agreement by

notifying the travel promoter in any manner and by any means of his or

her intention to cancel.

5. Within ten days after notice of cancellation is given, the travel

promoter shall refund to the purchaser concerned any payments made by

such purchaser; such refund may be made by reaccrediting the purchaser's

charge account if a credit card was used to make a payment and if the

travel promoter informs the purchaser in writing that the charge account

has been reaccredited.

6. If the travel promoter fails within the period prescribed by

subdivision five of this section to return all payments made by a

purchaser, he or she shall be liable to the purchaser for such payments.

If the purchaser is successful in an action to enforce any provision of

this section or section one hundred fifty-eight-a of this article or

appeal thereon, the court shall award the purchaser one hundred dollars

and may award reasonable attorney's fees and costs, in addition to any

other remedy.

7. The obligations imposed by this section shall be in addition to and

not in derogation of the requirements of any other law.

Prohibited practices by travel consultants. It shall be illegal

for any travel consultant and, if such travel consultant is a

corporation, any officer or director thereof, to engage in any or all of

the following enumerated practices:

1. Knowingly misrepresent the quality or kind of service, type or size

of aircraft, vehicle, ship or train, time of departure or arrival,

points served, route to be traveled, stops to be made, or total

trip-time from point of departure to destination or other services

available, reserved or contracted for in connection with any trip or

tour.

2. Knowingly misrepresent the fares and charges for transportation or

services in connection therewith.

3. Knowingly advertise or otherwise offer for sale or sell

transportation or services in connection therewith at less than the

rates, fares and charges specified in the currently effective tariffs of

the carrier, who is engaged to provide such transportation or services,

or knowingly offer or give rebates or other concessions thereon, or

knowingly assist or permit a person or persons to obtain such

transportation or services at less than such lawful rates, fares and

charges.

4. Knowingly misrepresent that special priorities for reservations are

available when such special considerations are not in fact granted to

members of the public generally.

5. Knowingly sell transportation to a person or persons on a

reservation or charter basis for specified space, flight or time or

knowingly represent that such definite reservation or charter is or will

be available or has been arranged, without a binding commitment with a

carrier for the furnishing of such definite reservation or charter as

represented or sold.

6. Knowingly sell or issue tickets or other documents to passengers to

be exchanged or used for transportation if such tickets or other

documents will not be or cannot be legally honored by carriers for

transportation.

7. Knowingly misrepresent the requirements that must be met by a

person or persons in order to qualify for charter or group fare rates.

Prohibited practices by travel promoters. It shall be illegal

for any travel promoter and, if such travel promoter is a corporation,

any officer or director thereof, to engage in any or all of the

following enumerated practices:

1. Offer free accommodations for more than one person and free travel

for one person when the charge for the travel of the additional person

or persons is equal to or exceeds what would have been paid for the

total number of travel tickets without utilizing the travel services

offered by the travel promoter.

2. Use a merchant account number assigned to a merchant other than the

travel promoter providing or offering the travel service in order to

process credit card charges and purchases.

3. Misrepresent the quality or kind of service, type or size of

aircraft, vehicle, ship or train, time of departure or arrival, points

served, route to be traveled, stops to be made, total trip-time from

point of departure to destination, type or size of lodging, time share

or other accommodation, availability of lodging, time share or other

accommodation, or other services available, reserved or contracted for

in connection with any trip, tour or other travel services, unless such

misrepresentation was based upon a reasonable belief as to the services

available based upon representations made by the person, company,

corporation, common carrier or other entity offering such services.

4. Misrepresent the fares and charges for transportation or services

in connection therewith, unless such misrepresentation was based upon a

reasonable belief as to the fares and charges applicable based upon rep-

resentations made by the person, company, corporation, common carrier or

other entity offering such services.

5. Advertise or otherwise offer for sale or sell transportation or

services in connection therewith at less than the rates, fares and

charges specified in the currently effective tariffs of the carrier that

is engaged to provide such transportation or services, or offer or give

rebates or other concessions thereon, or assist or permit a person or

persons to obtain such transportation or services at less than such

lawful rates, fares and charges.

6. Misrepresent that special priorities for reservations are available

when such special considerations are not in fact granted to members of

the public generally.

7. Sell transportation to a person or persons on a reservation or

charter basis for specified space, flight or time or represent that such

definite reservation or charter is or will be available or has been

arranged, without a binding commitment with a carrier for the furnishing

of such definite reservation or charter as represented or sold.

8. Sell or issue tickets or other documents to passengers to be

exchanged or used for transportation if such tickets or other documents

will not be or cannot be legally honored by carriers for transportation.

9. Misrepresent the requirements that must be met by a person or

persons in order to qualify for charter or group fare rates, unless such

misrepresentation was based upon a reasonable belief as to the

requirements applicable based upon representations made by the person,

company, corporation, common carrier or other entity offering such

charter or group fare.

Violations and penalties. 1. Except as otherwise provided by

law, any travel consultant who shall violate the terms of section one

hundred fifty-eight of this article shall be guilty of a misdemeanor.

2. Except as otherwise provided by law, any travel promoter who shall

knowingly violate the terms of section one hundred fifty-eight-a of this

article shall be guilty of a misdemeanor.

3. The district attorney of any county may bring an action in the name

of the people of the state to restrain or prevent any violation of this

article or any continuance of any such violation.

4. Enforcement; penalties. Whenever there shall be a violation of

section one hundred fifty-seven-a, one hundred fifty-eight or one

hundred fifty-eight-a of this article, an application may be made by the

attorney general in the name of the people of the state of New York to a

court or justice having jurisdiction by a special proceeding to issue an

injunction, and upon notice to the defendant of not less than five days,

to enjoin and restrain the continuance of such violations; and if it

shall appear to the satisfaction of the court or justice that the

defendant has, in fact, violated this article, an injunction may be

issued by such court or justice, enjoining and restraining any further

violation, without requiring proof that any person has, in fact, been

injured or damaged thereby. In any such proceeding, the court may make

allowances to the attorney general as provided in paragraph six of

subdivision (a) of section eighty-three hundred three of the civil

practice law and rules, and direct restitution. Whenever the court

shall determine that a violation of this article has occurred, the court

may impose a civil penalty of not more than five hundred dollars for

each violation. In connection with any such proposed application, the

attorney general is authorized to take proof and make a determination of

the relevant facts and to issue subpoenas in accordance with the civil

practice law and rules.

Severability. If any provision of this article or the

application thereof to any person or circumstances is held invalid the

invalidity thereof shall not affect other provisions or applications of

the article which can be given effect without the invalid provision or

application, and to this end the provisions of this article are

severable.

Unauthorized transmission of money as agent. No person, firm or

corporation or unincorporated association shall represent himself to be

an agent of any steamship company, express company, banking

establishment or institution, or other company, for the purpose of

receiving money for transmission or of transmitting the same by draft,

traveller's check, money order or otherwise to foreign countries, nor

shall any person, firm, corporation or unincorporated association do

business as such agent, unless thereto duly authorized.

Agent to transmit through principal. No such agent so

authorized shall transmit any money received for transmission by him

through any person, firm or corporation other than through the principal

from whom such agent has duly received authority.

Certain transmission prohibited; method of transmission. No

steamship company, express company, or other company and no agent

thereof, shall receive any money as a depositary. Every such steamship

company, express company, or other company and every agent thereof in

transmitting any money received for transmission, shall incorporate in

the advice of draft, money order or other instrument by means of which

such money is transmitted a statement showing the amount thereof in

terms of dollars and cents together with the amount thereof in terms of

the money standard of the country to which such money is transmitted.

Time of transmission. Every agent authorized to act as such by

any steamship company, express company, or otherwise for the purpose of

transmitting money, shall within two days after receipt thereof, deliver

to his principal the money so received. Every such steamship company,

express company, or other company shall thereupon and within three days

after receipt thereof from an agent, transmit the same to the person to

whom such money has been consigned by the transmitter unless within such

period of three days there be no mail bearing steamer leaving for the

point of destination of such moneys, in which event such money shall be

transmitted on the first steamship to leave thereafter.

Disposition of undelivered moneys. Every steamship company,

express company, or other company, to which moneys received for

transmission are returned for the reason that the same cannot be

delivered shall forthwith notify the transmitter thereof by mailing

written notice to such transmitter at his last known address. If such

money be unclaimed for a period of ninety days after such notice, such

company shall immediately turn over such money to the state comptroller

who shall maintain the same as a capital revolving fund for the purpose

of paying claimants thereof. After such moneys have remained unclaimed

in the hands of the comptroller for five years, the same shall escheat

to the state.

Application of article. This article shall not apply to any

person, firm, corporation or association under the supervision of the

department of financial services.

Violations; penalty. Every person, firm or corporation and

every officer thereof, who violates any provision of this article is

guilty of a misdemeanor.

Application of article. This article shall apply to all

employment agencies in the state.

Definitions. Whenever used in this article:

1. "Commissioner" means the industrial commissioner of the state of

New York, except that in the application of this article to the city of

New York the term "commissioner" means the commissioner of consumer

affairs of such city.

2. a. "Employment agency" means any person (as hereinafter defined)

who, for a fee, procures or attempts to procure:

(1) employment or engagements for persons seeking employment or

engagements, or

(2) employees for employers seeking the services of employees.

b. "Employment agency" shall include any person engaged in the

practice of law who regularly and as part of a pattern of conduct,

directly or indirectly, recruits, supplies, or attempts or offers to

recruit or supply, an employee who resides outside the continental

United States (as defined in section one hundred eighty-four-a of this

article) for employment in this state and who receives a fee in

connection with the arrangement for the admission into this country of

such workers for employment.

c. "Employment agency" shall include any person who, for a fee,

renders vocational guidance or counselling services and who directly or

indirectly:

(1) procures or attempts to procure or represents that he can procure

employment or engagements for persons seeking employment or engagements;

(2) represents that he has access, or has the capacity to gain access,

to jobs not otherwise available to those not purchasing his services; or

(3) provides information or service of any kind purporting to promote,

lead to or result in employment for the applicant with any employer

other than himself.

d. "Employment agency" shall include any nurses' registry and any

theatrical employment agency (as hereinafter defined).

e. "Employment agency" shall not include: (1) any employment bureau

conducted by a duly incorporated bar association, hospital, association

of registered professional nurses, registered medical institution, or by

a duly incorporated association or society of professional engineers, or

by a duly incorporated association or society of land surveyors, or by a

duly incorporated association or society of registered architects; (2)

any speakers' bureau as defined in subdivision eleven hereof; (3) any

organization operated by or under the exclusive control of a bonafide

nonprofit educational, religious, charitable or eleemosynary

institution. (4) any person, firm, corporation or organization defined

and regulated by sections one hundred ninety-one through one hundred

ninety-three of this chapter.

3. "Fee" means anything of value, including any money or other

valuable consideration charged, collected, received, paid or promised

for any service, or act rendered or to be rendered by an employment

agency, including but not limited to money received by such agency or

its emigrant agent which is more than the amount paid by it for

transportation, transfer of baggage, or board and lodging on behalf of

any applicant for employment.

4. "Agency manager" means the person designated by the applicant for a

license who is responsible for the direction and operation of the

placement activities of the agency at the premises covered by the

license.

5. "Placement employee" shall mean any agency manager, director,

counsellor, interviewer, or any other person employed by an employment

agency who spends a substantial part of his time interviewing,

counselling or conferring with job applicants or employers for the

purpose of placing or procuring job applicants, but shall not include

employees of an employment agency who are primarily engaged in clerical

occupations.

6. "Nurses' registry" means any employment agency, bureau, office or

other place which procures or attempts to procure employment or

engagements for nurses licensed pursuant to article one hundred

thirty-nine of the education law as a registered professional nurse or

licensed practical nurse.

7. "Person" means any individual, company, society, association,

corporation, manager, contractor, subcontractor, partnership, bureau,

agency, service, office or the agent or employee of the foregoing.

8. "Theatrical employment agency" means any person (as defined in

subdivision seven of this section) who procures or attempts to procure

employment or engagements for an artist, but such term does not include

the business of managing entertainments, exhibitions or performances, or

the artists or attractions constituting the same, where such business

only incidentally involves the seeking of employment therefor.

8-a. "Artist" shall mean actors and actresses rendering services on

the legitimate stage and in the production of motion pictures, radio

artists, musical artists, musical organizations, directors of legitimate

stage, motion picture and radio productions, musical directors, writers,

cinematographers, composers, lyricists, arrangers, models, and other

artists and persons rendering professional services in motion picture,

theatrical, radio, television and other entertainment enterprises.

9. "Theatrical engagement" means any engagement or employment of an

artist.

10. "Emigrant agent" shall mean any person, on behalf of an employment

agency who, for a fee, procures or attempts to procure employment for

persons outside the state or outside the continental United States

seeking such employment, or employees from outside the state or outside

the continental United States for employers seeking the services of such

employees.

11. "Speakers' bureau" means any person whose principal business is to

provide lecture business management and promotional services on behalf

of lecturers or speakers and procures on behalf of a lecturer or

speaker, speaking engagements to appear in lecture programs established

by an individual or institutional sponsor and who charges a fee,

directly or indirectly, to such lecturer or speaker.

Whenever used in this article words in the singular shall include the

plural.

License required. No person shall open, keep, maintain, own,

operate or carry on any employment agency unless such person shall have

first procured a license therefor as provided in this article. Such

license shall be issued by the commissioner of labor, except that if the

employment agency is to be conducted in the city of New York such

license shall be issued by the commissioner of consumer affairs of such

city. Such license shall be posted in a conspicuous place in said

agency.

Application for license. 1. An application for such license

shall be made to the commissioner of labor, except that if the

employment agency is to be conducted in the city of New York the

application for such license shall be made to the commissioner of

consumer affairs of such city. If the employment agency is owned by an

individual such application shall be made by such individual; if it is

owned by a partnership such application shall be made by all partners;

if it is owned by an association or society, such application shall be

made by the president and treasurer thereof, by whatever title

designated; if it is owned by a corporation, such application shall be

made by all its officers and, if the stock of the corporation is

publicly traded, by all stockholders holding ten percent or more of the

stock of such corporation. A conformed or photostatic copy of the

minutes showing the election of such officers shall be attached to such

application.

If the applicant will conduct business under a trade name or if the

applicant is a partnership, the application for a license shall be

accompanied by a copy of the trade name or partnership certificate duly

certified by the clerk of the county in whose office said certificate is

filed. Such trade name shall not be similar or identical to that of any

existing licensed agency.

2. a. Such application shall be written and in the form prescribed by

the commissioner and shall state truthfully the name and address of the

applicant; the name under which the employment agency is to be

conducted; the street and number of the building or place where the

business is to be conducted; the business or occupations engaged in by

the applicant theretofore; the name and address of the individual who

will be responsible for the direction and operation of the placement

activities of the agency, whether such individual be the applicant or

another; the length of time such individual has spent as a placement

employee; a description of the duties of such individual when so

engaged; the name and present address of the last employer to employ

such individual as a placement employee; and such other information as

may be prescribed by the commissioner. If such individual is not the

applicant, the application for a license shall be accompanied by an

application for an agency manager permit by the individual who will be

responsible for the direction and operation of the placement activities

of the agency. An application for an agency manager permit shall be on

such form as prescribed by the commissioner.

b. The application for a license shall be accompanied by samples or

accurate facsimiles of each and every form which the applicant for a

license will require applicants for employment to execute, and such

forms must be approved by the commissioner before a license may be

issued. The commissioner shall approve any such forms which fairly and

clearly represent contractual terms and conditions between the proposed

employment agency and applicants for employment, such as are permitted

by this article. The commissioner shall make all forms required pursuant

to this article available to employment agencies in languages other than

English, including any other language that the commissioner determines,

in his or her discretion, based on the size of the New York population

that speaks each language and any other factor that the commissioner

deems relevant. An employment agency shall not be penalized for errors

or omissions in the non-English portions of any forms provided by the

commissioner.

c. If the applicant for a license intends to recruit persons who

reside in a state outside this state for employment as domestic or

household employees, or to recruit persons from outside the continental

United States for domestic or household employment, or is to provide or

arrange for lodging of applicants for employment or other persons doing

business with the agency, he shall so state in the application for a

license, and give the address where such lodging will be provided. Such

application shall be accompanied by the statements of at least two

reputable residents of the state, subscribed and affirmed by such

residents as true under the penalties of perjury, except that where the

agency is to be conducted in New York city, the statements shall be of

at least two reputable persons who reside or do business in such city,

to the effect that the applicant is a person of good moral character.

Procedure upon application; grant of license. 1. Upon the

receipt of an application for a license, the commissioner shall cause

the name and address of the applicant, the name under which the

employment agency is to be conducted, and the street and number of the

place where the agency is to be conducted, to be posted on the

commissioner's website, as well as in a conspicuous place in his public

office. Such agency shall be used exclusively as an employment agency

and for no other purpose, except as hereinafter provided. The

commissioner shall investigate or cause to be investigated the character

and responsibility of the applicant and agency manager and shall examine

or cause to be examined the premises designated in such application as

the place in which it is proposed to conduct such agency.

The commissioner shall require all applicants for licenses and agency

managers to be fingerprinted. Such fingerprints shall be submitted to

the division of criminal justice services for a state criminal history

record check, as defined in subdivision one of section three thousand

thirty-five of the education law, and may be submitted to the federal

bureau of investigation for a national criminal history record check.

The criminal history information, if any, received by the commissioner

shall be considered in accordance with the provisions of article

twenty-three-A of the correction law and subdivisions fifteen and

sixteen of section two hundred ninety-six of the executive law. A

reasonable time before making a determination on the application

pursuant to this subdivision, the commissioner shall provide the

applicant with a copy of the applicant's criminal history information,

if any. Where such criminal history information is provided, the

commissioner shall also provide a copy of article twenty-three-A of the

correction law, and inform such applicant of his or her right to seek

correction of any incorrect information contained in such criminal

history information pursuant to the regulations and procedures

established by the division of criminal justice services.

2. Any person may file, within one week after such application is so

posted, a written protest against the issuance of such license. Such

protest shall be in writing and signed by the person filing the same or

his authorized agent or attorney, and shall state reasons why the said

license should not be granted. Upon the filing of such protest the

commissioner shall appoint a time and place for the hearing of such

application, and shall give at least five days' notice of such time and

place to the applicant and the person filing such protest. The

commissioner may administer oaths, subpoena witnesses and take testimony

in respect to the matters contained in such application and protests or

complaints of any character for violation of this article, and may

receive evidence in the form of affidavits pertaining to such matters.

If it shall appear upon such hearing or from the inspection, examination

or investigation made by the commissioner that the applicant or agency

manager is not a person of good character or responsibility; or that he

or the agency manager has not had at least two years experience as a

placement employee, vocational counsellor or in related activities, or

other satisfactory business experience which similarly tend to establish

the competence of such individual to direct and operate the placement

activities of the agency; or that the place where such agency is to be

conducted is not a suitable place therefor; or that the applicant has

not complied with the provisions of this article; the said application

shall be denied and a license shall not be granted. Each application

should be granted or refused within thirty days from the date of its

filing.

3. Any license heretofore issued shall run to the first Tuesday of May

next following the date thereof and no later, unless sooner revoked by

the commissioner. On and after May first, nineteen hundred seventy-six,

licenses shall run to May first, nineteen hundred seventy-eight;

thereafter to May first of every second year. A separate license shall

be required for each branch of any agency.

4. No license shall be granted to a person to conduct the business of

an employment agency in rooms used for living purposes or where boarders

or lodgers are kept or where meals are served or where persons sleep or

in connection with a building or premises where intoxicating liquors are

sold to be consumed on the premises, excepting cafes and restaurants in

office buildings. No license shall be granted to a person to conduct the

business of an employment agency where the name of the employment agency

directly or indirectly expresses or connotes any limitation,

specification or discrimination as to race, creed, color, age, sex,

national origin, disability or marital status, and the lack of intent on

the part of the applicant for the license to make any such limitation,

specification or discrimination shall be immaterial, except that any

presently licensed employment agency bearing a name which directly or

indirectly expresses or connotes any such limitation, specification or

discrimination may continue to use its present name and may have its

license renewed using its present name, provided that it display under

such name, wherever it appears, a statement to the effect that its

services are rendered without limitation, specification or

discrimination as to race, creed, color, age, sex, national origin,

disability or marital status.

Form and contents of license. 1. Every license shall contain

the name of the person licensed, a designation of the city, town or

village, street and number of the place in which the person licensed is

authorized to carry on the said employment agency, and the number and

date of such license. If the licensee is a corporation, the license

shall be issued in the name of the corporation and the names of the

president and treasurer individually and as officers. All other

officers of the corporation and all stockholders of a corporation whose

stock is not publicly traded holding ten percent or more of the stock of

such corporation shall be deemed licensees.

2. It shall be the duty of the licensee to notify promptly the

commissioner of any changes of the persons licensed or deemed to be

licensees, and of any material change in the ownership or operation of

the agency.

Assignment or transfer of license; change of location;

additional locations. A license granted as provided in this article

shall not be valid for any person other than the person to whom it is

issued or any place other than that designated in the license and shall

not be assigned or transferred without the consent of the commissioner.

Applications for such consent shall be made in the same manner as an

application for a license, and all the provisions of sections one

hundred seventy-three and one hundred seventy-four shall apply to

applications for such consent. The location of an employment agency

shall not be changed without the consent of the commissioner, and such

change of location shall be indorsed upon the license. A person who has

obtained an employment agency license in accordance with the provisions

of this article, may apply for an additional license to conduct an

additional employment agency, in accordance with the provisions of

section one hundred seventy-three. The manner of application, and the

conditions and terms applicable to the issuance of such license shall be

the same as for an initial or original license except that the said

license shall not extend beyond the termination date of the original

license. An additional bond shall be furnished to the commissioner

issuing the additional license, and the terms of said bond shall be such

as to make it payable as well to the people of the state of New York or

of the city of New York, as the case may be.

Bonds and license fees. 1. Every person licensed under the

provisions of this article to carry on the business of an employment

agency shall pay to the commissioner a license fee in accordance with

the following schedule before such license is issued. The minimum fee

for said license shall be five hundred dollars, and for an agency

operating with more than four placement employees, seven hundred

dollars, provided, however, that if the license is to run less than one

year, the fee shall be two hundred fifty dollars and three hundred fifty

dollars respectively, and if the license is to run less than six months,

the fee shall be one hundred twenty-five dollars and one hundred

seventy-five dollars respectively. For the purpose of determining the

license fee which an employment agency shall pay, the applicant for such

license shall state in his application to the commissioner the average

number of placement employees employed by the applicant's employment

agency during the preceding calendar year; or, in the event that the

applicant has not previously conducted an employment agency under the

provisions of this article, he or she shall state the average number of

placement employees which he or she reasonably expects will be employed

by the employment agency during the calendar year in which the license

is issued. If the application for a license is denied or withdrawn,

one-half of the license fee provided herein shall be returned to the

applicant. He or she shall also deposit before such license is issued,

with the commissioner, a bond in the penal sum of five thousand dollars

with two or more sureties or a duly authorized surety company, to be

approved by the commissioner, provided, however, that if the applicant

will engage in the recruitment of domestic or household employees from

outside the continental United States, or will conduct a modeling agency

the bond shall be in the penal sum of ten thousand dollars.

2. The bond executed as provided in subdivision one of this section

shall be payable to the people of the state of New York or of the city

of New York, as the case may be, and shall be conditioned that the

person applying for the license will comply with this article, and shall

pay all damages occasioned to any person by reason of any misstatement,

misrepresentation, fraud or deceit, or any unlawful act or omission of

any licensed person, his agents or employees, while acting within the

scope of their employment, made, committed or omitted in the business

conducted under such license, or caused by any other violation of this

article in carrying on the business for which such license is granted.

The bond also shall be conditioned that the person applying for the

license shall pay the commissioner all fines imposed pursuant to section

one hundred eighty-nine of this article.

3. If at any time the surety or sureties become financially

irresponsible in the judgment of the commissioner or insolvent the

licensed person shall, upon notice from the commissioner, file a new

bond, subject to the provisions of this section. The failure to file a

new bond, within ten days after such notice, in the discretion of the

commissioner, shall operate as a revocation of such license and the

license shall be thereupon returned to the commissioner.

Action on bond. All claims or suits brought in any court

against any licensed person may be brought in the name of the person

damaged upon the bond deposited by such licensed person as provided in

section one hundred seventy-seven and may be transferred and assigned as

other claims for damages in civil suits. The amount of damages claimed

by plaintiff, and not the penalty named in the bond, shall determine the

jurisdiction of the court in which the action is brought. The

commissioner may institute a suit against the bond on behalf of any

person damaged. Where such licensed person has departed from the state

with intent to defraud his creditors or to avoid the service of a

summons in an action brought under this section, service shall be made

upon the surety in the manner provided for service of a summons. A copy

of such summons shall be mailed to the last known post office address of

the residence of the licensed person and the place where he conducted

such employment agency, as shown by the records of the commissioner.

Registers and other records to be kept. It shall be the duty of

every licensed person to keep a register, approved by the commissioner,

in which shall be entered, in the English language, the date of the

application for employment, the date the applicant started work and the

name and address of every applicant from whom a fee or deposit is

charged, the amount of the fee or deposit and the service for which it

is received or charged. Such licensed person shall also enter in the

same or in a separate register, approved by the commissioner, in the

English language, the name and address of every employer from whom a fee

is received or charged or to whom the licensed person refers an

applicant who has paid or is charged a fee, the date of such employer's

request or assent that applicants be furnished, the kind of position for

which applicants are requested, the names of the applicants sent from

whom a fee or deposit is received or charged with the designation of the

one employed, the amount of the fee or deposit charged, and the rate of

salary or wages agreed upon. It shall also be the duty of every licensed

person to keep complete and accurate written records in the English

language of all receipts and income received or derived directly from

the operation of his employment agency, and to keep records concerning

job orders. No such licensed person, his agent or employees, shall make

any false entry in such records. It shall be the duty of every licensed

person to communicate orally or in writing with at least one of the

persons mentioned as references for every applicant for work in private

families, or employed in a fiduciary capacity, and the result of such

investigation shall be kept on file in such agency for a period of at

least three years. Every register and all records kept pursuant to the

requirements of this article shall be retained on the premises of the

agency concerned for three years following the date on which the last

entry thereon was made.

Contracts, statements of terms and conditions, and receipts. It

shall be the duty of every employment agency to give to each applicant

for employment:

1. A true copy of every contract executed between such agency and such

applicant, which shall have printed on it or attached to it a statement

setting forth in a clear and concise manner the provisions of sections

one hundred eighty-five, and one hundred eighty-six of this article.

2. (a) For class "C" theatrical employment:

(1) Such contract in blank shall be first approved by the commissioner

and his or her determination shall be reviewable by certiorari. Each

contract shall include the gross commission or fees to be paid by the

artist to the theatrical employment agency consistent with section one

hundred eighty-five of this article. Each such contract shall also

include the name, address, phone number and license number of the

theatrical employment agency in addition to the name of the artist, the

type of services covered by the contract, and all terms and conditions

associated with the payment of such commission or fees. The theatrical

employment agency shall keep on file a copy of each contract entered

into with an artist and provide a copy of each contract to the artist.

(2) Separate from the contract, the agency shall provide to the

artist, at the time of each audition or interview for specific

employment, information as to the name and address of the person to whom

the artist is to apply for such employment, the service to be performed,

the anticipated rate of compensation, where such compensation is known

prior to the audition or interview, and any other material terms and

conditions of such employment that are known by the agency prior to the

audition or interview. Such information may be provided by electronic

communication.

(b) For all other employment, including class "A" and "A-1"

employment, each contract shall include, but not be limited to, the

following: information as to the name and address of the person to whom

the applicant is to apply for such employment, the name, the address,

the mailing address, and the telephone number of the employer; the

address or addresses of employment, the kind of service to be performed;

the anticipated rate of wages or compensation; the anticipated hours of

work per day and number of days to be worked per week; the agency's fee

for the applicant based on such anticipated wages or compensation; any

provision to the employee, and costs associated with that provision

including housing, health insurance, healthcare, sick leave, holidays

and retirement benefits; whether such employment is permanent or

temporary, the anticipated period of employment, the name and address of

the person authorizing the hiring of such applicant; and the cost of

transportation if the services are required outside of the city, town or

village where such agency is located. If the job is a conditionally

fee-paid job, the conditions under which the applicant will be required

to pay a fee shall be clearly set forth in a separate agreement in

ten-point type signed by the job applicant.

3. (a) This paragraph shall apply to all classes of employment except

for class "C" theatrical employment. The employment agency shall provide

to each applicant, a separate document accompanying each contract

summarizing the terms and conditions of the contract. This document

shall be entitled "terms and conditions" and shall include the language

that the document is not a contract and that such document is not

legally binding. The terms and conditions shall be provided in plain and

commonly understood terms and language which shall aid the job applicant

in understanding the transaction and such document shall limit the use

of technical terms whenever possible.

(b) The terms and conditions shall conform to any templates

established by the commissioner and be made available to employment

agencies in such manner as determined by the commissioner. In developing

such templates, the commissioner shall afford the public an opportunity

to submit comments on such templates.

(c) The commissioner may promulgate rules and regulations necessary to

carry out the provisions of this section.

(d) An employment agency shall not be penalized for errors or

omissions in the non-English portions of any templates provided by the

commissioner.

4. A receipt for any fee, deposit, consideration, or payment which

such agency receives from such applicant, which shall have printed or

written on it the name of the applicant, the name and address of the

employment agency, the date and amount of such fee, deposit,

consideration or payment or portion thereof for which the receipt is

given, the purpose for which it was paid, and the signature of the

person receiving such payment. If the applicant for employment has been

recruited from outside the state for domestic or household employment

the receipt shall have printed on it, or attached to it, a copy of

section one hundred eighty-four of this article. Except as provided

below for class "C" theatrical employment, the receipt shall also

include, immediately above the place for signature of the person

receiving payment, set off in a box and printed in bold capital letters,

the following statement: "An employment agency may not charge you, the

job applicant, a fee before referring you to a job that you accept. If

you pay a fee before accepting a job or pay a fee that otherwise

violates the law, you may demand a refund, which shall be repaid within

seven days". For class "C" employment such receipt shall state: "A

theatrical employment agency may not charge you, the artist, a fee

before referring you to a job that you accept. A theatrical employment

agency may charge you, the artist, a fee after an agency represents you

in the negotiation or renegotiation of an original or pre-existing

employment contract. If you pay a fee that otherwise violates the law,

you may demand a refund, which shall be repaid within seven days".

5. The completed original or duplicate-original copy of each such

contract, statement of terms and conditions, receipts, and any other

documents given to the applicant shall be retained by every employment

agency for three years following the date on which the contract is

executed or the payment is made, and shall be made available for

inspection by the commissioner or his or her duly authorized agent or

inspector, upon his or her request. Notwithstanding the other provisions

of such contracts, the monetary consideration to be paid by the

applicant shall not exceed the fee ceiling provided in subdivision eight

of section one hundred eighty-five of this article.

Cards to be furnished nurses; registry records. A nurses'

registry shall send out to practice nursing only persons duly licensed

pursuant to article one hundred thirty-nine of the education law as a

registered professional nurse or licensed practical nurse. Every nurses'

registry, before sending a person out to practice nursing, shall

investigate such person's educational qualifications and verify such

person's licensure and current registration. At least two current

written references shall be required of such person. The record of such

investigation and verification shall be kept on file in the registry.

Every nurses' registry that sends out any such person shall at such

time give to such person and send to the employer of such person a card

stating (1) such person's name, address and salary, (2) whether such

person is a registered professional nurse or licensed practical nurse,

(3) the number of the current registration certificate issued to such

person by the education department, and (4) a statement that the record

of such person's educational qualifications and experience in the

practice of nursing is on file in such registry and that a copy thereof

will be sent to such employer on request. A copy of such card shall be

kept on file in the registry.

The record of investigation and verification and the card-copy

required by this section to be kept on file shall be open to inspection

by any duly authorized agent of the university of the state of New York,

and every nurses' registry shall furnish a complete list of its

registrants on request of such agent.

Recruitment of domestic or household employees who are

residents of other states; findings and policy. The acute shortage of

domestic or household employees in this state has led to extensive

recruitment of such employees from other states in the continental

United States. Social, economic and community problems occur in the

process of recruiting and relocating unskilled employees from outside

the state for such household employment. It is hereby declared to be

the public policy of the state to encourage the recruitment of such

employees from outside the state only under circumstances and conditions

which will safeguard and protect the interests of such employees, their

employers and the public at large. Incident to such recruiting are

factors and considerations which do not exist in the recruitment of

workers from within the state which impose certain responsibilities upon

employment agencies engaged in such recruiting. Likewise, such

employment agencies incur costs in the recruiting and placement of

employees from without the state which are not entailed in recruiting

residents of the state. Therefore, in order to provide sound and

responsible practices and procedures for such recruitment and adequate

regulation thereof, the following provisions of this section are deemed

to be in the interest of the public safety and welfare.

1. No employment agency, directly or indirectly, shall accept

applications from persons who reside in a state outside New York,

procure or offer to procure employment of persons as domestic or

household employees who are residing in states outside of this state

previous to their application for employment, except as provided in this

section and in the applicable provisions of other sections of this

article. As used in this section, the term "state" applies to the

forty-eight states on this continent, and the District of Columbia, but

does not include the state of Alaska.

2. An employment agency which engages in such recruitment, offer or

procurement as described in subdivision one, directly or indirectly,

shall furnish to the commissioner a written list containing the name and

address of all emigrant agents from whom it accepts job applicants. If

such emigrant agents are required to be licensed in the places in which

they are recruiting employees, no employment agency, directly or

indirectly, shall accept applicants from persons other than duly

licensed emigrant agents.

3. No employment agency shall, directly or indirectly, procure or

offer to procure domestic or household employment for a person who is

under the age of eighteen years and resides outside of the state.

4. If an employment agency engages in the recruitment of domestic or

household employees from outside of the state, it shall:

(a) Enter into its register the following information, in addition to

the register entries prescribed in section one hundred seventy-nine of

this article: (1) the last home address and birth date of all applicants

for such employment whom the employment agency is responsible for

bringing into New York state; (2) the name and address of the emigrant

agent, if any, through whom such applicant was obtained; (3) the name

and address of all persons to whom the employment agency has made

payments in connection with the recruitment of the applicant and amounts

of such payments; (4) the total charges made by the agency to the

applicant include, to be separately designated: (A) agency fee; (B) any

charges for transportation, and (C) any other charges in connection with

placement.

(b) Respecting applicants from out of the state for whom the agency is