New York Codes, Rules and Regulations
Title 13 - DEPARTMENT OF LAW
Chapter V - CHARITABLE USES AND PURPOSES
Part 93 - Fund Raising Professionals
Section 93.2 - Registration

Universal Citation: 13 NY Comp Codes Rules and Regs ยง 93.2

Current through Register Vol. 46, No. 12, March 20, 2024

(a) When to register. Professional fund raisers, fund raising counsel and professional solicitors shall register with the Attorney General prior to engaging in any fund raising activities in the State of New York and/or solicitation of persons in New York State.

(b) Registration forms.

(1) Professional fund raisers. Professional fund raisers shall file with the Attorney General a professional fund raiser's registration form signed under penalties for perjury and all documents required to be annexed thereto. Such form shall include the following information:
(i) the full legal name of the professional fund raiser and all other legally authorized names under which it operates in any capacity;

(ii) organizational type (corporation, partnership, unincorporated association, proprietorship, etc.);

(iii) the date, state and county in which organized;

(iv) the principal New York State address of the professional fund raiser and all addresses from which it solicits contributions from New York State residents and the telephone number at each address;

(v) the names, primary residence or business address where each can be regularly located, and title or relationship to the professional fund raiser of:
(a) individual owners of unincorporated associations and proprietorships;

(b) partners;

(c) corporate officers and directors; and

(d) comparable managers of the legal entities;

(vi) the names and primary residence or business address where each can be regularly located of any individual or entity that owns 10 percent or more of the professional fund raiser;

(vii) as required by section 5 of the New York State Tax Law, the Federal tax identification number or individual social security number for each entity or individual listed pursuant to subparagraph (v) of this paragraph. Tax identification numbers and social security numbers are exempt from disclosure to the public, except as may be required by compulsory or other legal process, but must be provided to the Attorney General pursuant to the Tax Law;

(viii) the names and addresses of each charitable organization with which the professional fund raiser has contracts or has contracted within the prior 12 months to act as a professional fund raiser or fund raising counsel in New York and the dates and a description of activities to be or that have been conducted pursuant to such contracts;

(ix) a statement as to whether any individual listed pursuant to subparagraph (v) of this paragraph is or has been an officer, director or employee of any other professional fund raiser or fund raising counsel that has engaged in fund raising activities in New York and/or is or has been an officer, director or employee of any charitable organization that has engaged in fund raising activities in New York and, if so, the names and primary residence or business addresses of such individuals where they can be regularly located and the entities with which they are or have been associated and the titles of all such individuals;

(x) a statement as to whether the professional fund raiser is registered with any other State or local governmental agency and, if so, the names of such governmental agencies;

(xi) a statement as to whether the professional fund raiser has ever had any license, registration or permit to engage in fund raising activities denied, canceled, suspended or revoked and, if so, a detailed description of such circumstances;

(xii) a statement as to whether any disciplinary or legal action in connection with fund raising activities has been taken or is pending against the professional fund raiser and, if so, a detailed description of such action; and

(xiii) a statement as to whether the professional fund raiser employs any professional solicitors.

(2) Fund raising counsel. Fund raising counsel shall file with the Attorney General a fund raising counsel registration form, signed under penalties for perjury, and all documents required to be annexed thereto. Such form shall include the following information:
(i) the full legal name of the fund raising counsel and all other legally authorized names under which it operates in any capacity;

(ii) organizational type (corporation, partnership, unincorporated association, proprietorship, etc.);

(iii) the date, state and county in which organized;

(iv) the principal address of the fund raising counsel, the principal New York State address and the telephone number at each address;

(v) the names, primary residence or business address where each can be regularly located, and title or relationship to the fund raising counsel of:
(a) individual owners of unincorporated associations and proprietorships;

(b) partners;

(c) corporate officers and directors; and

(d) comparable managers of the legal entities;

(vi) the names and primary residence or business address where each can be regularly located of any individual or entity that owns 10 percent or more of the fund raising counsel;

(vii) as required by section 5 of the New York State Tax Law, the Federal tax identification number or individual social security number for each entity or individual listed pursuant to subparagraph (v) of this paragraph. Tax identification numbers and social security numbers are exempt from disclosure to the public, except as may be required by compulsory or other legal process, but must be provided to the Attorney General pursuant to the Tax Law;

(viii) the names and addresses of charitable organizations with which the fund raising counsel has contracts or has contracted within the prior 12 months to act as a fund raising counsel for organizations soliciting contributions in New York and the dates and a description of activities to be or that have been conducted pursuant to such contracts;

(ix) a statement as to whether any individual listed pursuant to subparagraph (v) of this paragraph has been or is associated with any professional fund raiser, fund raising counsel and/or charitable organization and, if so, the names and primary residence or business address where each can be regularly located and the entities and the titles of all such individuals;

(x) a statement as to whether the fund raising counsel is registered with any other state or local governmental agency and, if so, the names of such governmental agencies;

(xi) a statement as to whether the fund raising counsel has ever had any license, registration or permit denied, canceled, suspended or revoked and, if so, a detailed description of such circumstances;

(xii) a statement as to whether any disciplinary or legal action has been taken or is pending against the fund raising counsel and, if so, a detailed description of such action;

(xiii) a statement as to whether the fund raising counsel or any of its representatives is authorized to solicit contributions;

(xiv) a statement as to whether the fund raising counsel or any of its representatives is authorized to pay expenses associated with a solicitation;

(xv) a statement as to whether the fund raising counsel or any representatives has access to contributions or other receipts from a solicitation. For purposes of this Chapter, access to contributions shall mean the physical control, handling or possession of any cash or legal instrument, regardless of to whom payable, if such cash or legal instrument constitutes a contribution or donation. Access to contributions occurs when there is any signature authority over an escrow account or bank account in which contributions or donations have been or will be deposited and/or authorization to approve or pay expenses; and

(xvi) a statement as to whether the fund raising counsel employs any professional solicitors.

(3) Professional solicitors. Professional solicitors shall file with the Attorney General a professional solicitor registration form, signed under penalties for perjury, and all documents required to be annexed thereto. Such form shall include the following information:
(i) the full legal name of the professional solicitor by which he or she shall solicit contributions and any other names by which the solicitor is known;

(ii) the primary residence or business address where the solicitor can be regularly located and the solicitor's telephone numbers;

(iii) with regard to all past and present employment as a professional fund raiser, fund raising counsel and/or professional solicitor, the names and addresses of all such employers, the dates of employment and the terms of remuneration;

(iv) the social security number of the solicitor. Social security numbers are exempt from disclosure to the public, except as may be required by compulsory or other legal process, but must be provided to the Attorney General pursuant to the Tax Law;

(v) a statement as to whether the solicitor is registered with any other state or local governmental agency and, if so, the names of such governmental agencies;

(vi) a statement as to whether the solicitor has ever had any license, registration or permit to solicit contributions denied, canceled, suspended or revoked and, if so, a detailed description of such circumstances; and

(vii) a statement as to whether any disciplinary or legal action has been taken or is pending against the solicitor and, if so, a detailed description of such action.

(c) Incomplete registration material. The Attorney General will not accept any registration of any professional fund raiser, fund raising counsel or professional solicitor unless all of the documents and fees required by law and this Chapter have been submitted and paid, respectively. Incomplete registration material shall be returned by the Attorney General and the professional fund raiser, fund raising counsel or professional solicitor may be subject to sanctions pursuant to article 7-A. The professional fund raiser, fund raising counsel or professional solicitor shall not be in compliance with the law and this Chapter until the registration material has been accepted by the Attorney General.

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