N.Y. Banking Law § 4002: Fingerprints

§ 4002. Fingerprints. (a) Notwithstanding any other provisions 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. Every

applicant filing an application to acquire control of any banking

institution under sections one hundred forty-three-a and one hundred

forty-three-b of this chapter 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 sets of 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.