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This entry was published on 2014-09-22
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SECTION 9001-A
Fingerprints
Banking (BNK) CHAPTER 2, ARTICLE 16
§ 9001-a. Fingerprints. (a) Notwithstanding any other provision of
law, every incorporator of a corporation shall, in addition to any other
requirements which may be imposed by the superintendent, submit
simultaneously with an application, his or her fingerprints in such form
and in such manner as specified by the division of criminal justice
services, but in any event, no less than two digit imprints. The
superintendent shall submit the fingerprints to the division of criminal
justice services for the purpose of conducting a criminal history search
and returning a report thereon in accordance with the procedures and
requirements established by the division pursuant to the provisions of
article thirty-five of the executive law, which shall include the
payment of the prescribed processing fees. The superintendent shall
request that the division submit such fingerprints to the federal bureau
of investigation, together with the processing fees prescribed by such
bureau, for the purpose of conducting a criminal history search and
returning a report thereon.

(b) The superintendent shall also, concurrent with an investigation of
an incorporator of a corporation pertaining to a violation of this
chapter, submit such fingerprints to the division of criminal justice
services for the purpose of conducting a criminal history search and
returning a report thereon and through the division to the federal
bureau of investigation for the purpose of a fingerprint check of such
incorporator.

(c) For purposes of this section, "incorporator" shall include a
natural person or such principal, officer, director, trustee or
stockholder of any other entity as may be designated by the
superintendent. Notwithstanding any other provision of this article,
the superintendent shall not access criminal history data or
information, unless any agency from which the superintendent receives
directly criminal history data or information has entered into a use and
dissemination agreement with the superintendent consistent with the
provisions of this section.

(d) An applicant shall not be required to submit his or her
fingerprints as required by subdivision (a) of this section if such
applicant (i) is already subject to regulation by the department and the
applicant has submitted such fingerprints to the department, such
fingerprints have been submitted to the division of criminal justice
services for the purpose of conducting a criminal history search, and a
report of such search has been received by the department from such
division; or (ii) is subject to regulation by a federal bank regulatory
agency and has submitted such fingerprints to such agency which has had
a criminal history search conducted of such individual and has shared
such information or its determination resulting from such search with
the department; or (iii) is an officer or stockholder of a corporation
whose common or preferred stock is registered on a national securities
exchange, as provided in an act of congress of the United States
entitled the "Securities Exchange Act of 1934", approved June sixth,
nineteen hundred thirty-four, as amended, or such other exchange or
market system as the superintendent shall approve by regulation, and has
submitted such fingerprints to such exchange or market system which has
had a criminal history search conducted of such individual and has
shared such information or its determination resulting from such search
with the department; provided, however, that the superintendent may
subsequently require such applicant to submit such fingerprints if the
superintendent has a reasonable basis for updating the information or
determination resulting from the report of the criminal history search
conducted at the request of such federal banking agency, exchange or
market system.