State Records Rules and Regulations


This information is not the official version of the Official Compilation of the Rules and Regulations of the State of New York (NYCRR). No representation is made as to its accuracy, nor may it be read into evidence in New York State courts. To ensure accuracy and for evidentiary purposes, reference should be made to the official NYCRR. The Official NYCRR is available from West Publishing: 1-800-344-5009

Filing of Local Laws

Part 130. FILING LOCAL LAWS Statutory authority: Executive Law, §91)

§ 130.1 Filing location. A copy of each local law shall be mailed or delivered to the Department of State, Bureau of State Records and Law, at its Albany office.


§ 130.2 Filing procedure. Each local law shall be filed on a form provided by the department. If additional pages are required, they must be of the same size as the form. For convenience, printed, mimeographed or typewritten copies of the text may be affixed to the form, but these shall not be of a size larger than the form. To ensure reproduction by the department's record retention equipment, only true and legible copies will be accepted.


§ 130.3 Title and number of local laws. The filing form shall contain entries for the title and number of each local law. Numbering shall be consecutive, beginning with the number one for the first local law filed in each calendar year. The next number in sequence shall be applied to each local law when it is filed, regardless of its date of introduction or adoption. Such form shall also contain entries for other information as may be required by law.


§ 130.4 Filing date. The date of filing of a local law shall be the date on which the local law is placed on file by the department.


§ 130.5 Corrections. Corrections of filed local laws will be accepted by the department, only where the corrections are of clerical errors occurring after adoption of the local law. Corrections must be in the form of whole pages submitted as either replacement pages or additional pages. Corrections must be accompanied by a letter signed by the municipal clerk, clerk to the legislative body, or other duly designated officer, explaining the nature of the correction. The letter must also attest to the officer's belief that the correction will conform the filed local law with the local law as adopted. No other changes of any kind will be made to filed local laws by the department.


Use of Games of Chance in Selling Commodities


(Statutory authority: Executive Law, § 91; General Business Law, § 369-e)

§ 132.1 Definitions.

Game includes a series of the same or substantially similar games.

§ 132.2 Registration statement.

 In addition to the information required by General Business Law, section

369-e (1), the statement filed in the Department of State shall set forth the prizes offered and the retail value of each prize.

§ 132.3 Value of prizes.

The actual retail cost shall be used in determining the value of prizes offered in any game of chance.

§ 132.4 Trust accounts and surety bonds.

Where prizewinning objects are distributed to retail establishments in a substantially uniform ratio to the number of participating objects or entries, the total value of prizes offered may be calculated as:

 A = (N/T) (V) + P

 where A is the amount of the bond to be posted or trust account to be maintained;

 N is the total number of objects distributed in New York or the projected number of entries from New York;

 T is the total number of objects distributed or the projected number of entries in the game;

 V is the total retail value of all prizes offered; and

 P1, P2, P3, P4, and P5 are respectively the retail values of the first, second, third, fourth and fifth largest prizes.

§ 132.5 Winners list.

 The rules of the contest shall set forth the address where persons may obtain a copy of the winners list from the promoter in accordance with General Business Law, section 369-e (5).

Registration of Names or Marks in Relation to the use of Carts, Cases, Trays, Baskets, Boxes and other Containers


(Statutory authority: General Business Law, §399-q; Executive Law, §91)


§ 133.1 Definitions.
As used in this article:
(a) Name or mark means any word, name, symbol, picture, design or any combination thereof, produced upon and used by a person to indicate ownership of carts, cases, trays, baskets, boxes and other containers.
(b) Person means any individual, firm, partnership, corporation, association, union or other organization.
(c) Permanently affixed means branded, stamped, stenciled, engraved, etched, blown, embossed, impressed, or otherwise permanently placed upon any cart, case, tray, basket, box or other container.


§ 133.2 Filing of statement.
A person who uses a name or mark to indicate ownership of carts, cases, trays, baskets, boxes and other containers may file in the Office of the Secretary of State, on a form to be furnished by the Secretary, the following information:
(a) the name and business address of the person filing the statement; and, if a corporation, the state of incorporation;
(b) the nature of the business of the person filing; and
(c) the type of container with which the name, mark or device is used.
The statement shall include or be accompanied by a copy, specimen, facsimile or counterpart of such name or mark, together with the filing fee prescribed by section 96 of the Executive Law.


§ 133.3 Assignment.
The registration of the filing of any name or mark under this Part and the benefits obtained thereunder shall be assignable. Assignments shall be made upon forms supplied by the Secretary of State and shall be accompanied by the fee prescribed by section 96 of the Executive Law.


§ 133.4 Cancellation.
The Secretary of State shall cancel from the register:
(a) any certificate concerning which the Secretary of State shall receive a voluntary request for cancellation thereof from the person filing or from the assignee; and
(b) any certificate in respect of which a court of competent jurisdiction shall order cancellation on any legal or equitable ground.

Trademarks and Service Marks

(Statutory authority: Executive Law, §91; General Business Law, §§360-1, 360-q)

§ 140.1 Forms and clarity of documents.
Every application for registration or renewal must be on a current form supplied by the Department of State, completed in the English language, plainly written or typed, and of sufficient clarity to permit recording and reproduction by the department in its current record retention medium. If the mark or any part thereof is not in the English language, it must be accompanied by a sworn translation.


§ 140.2 Registration date.
After an application has been examined and found acceptable, the registration date is the date of initial receipt of the application by the department.


§ 140.3 Description of mark.
A description of the mark, other than merely a word mark, must be set forth in the application including a written description of any designs sought to be registered. All extraneous matter should be omitted.


§ 140.4 Proof of distinctiveness.
When registration is sought of a mark which would be unregistrable by reason of section 360-a(e) of the General Business Law but which is said by the applicant to have become distinctive in commerce of the goods or services set forth in the application, the applicant may, in support of registrability, submit with the application, or in response to a request for evidence or a refusal to register, affidavits, depositions or other appropriate evidence showing duration, extent and nature of use and advertising expenditures in connection therewith (identifying types of media and attaching typical advertisements), and affidavits, letters, or statements from the trade or public, or both, or other appropriate evidence tending to show that the mark distinguishes such goods or services.


§ 140.5 Rejection and resubmission of applications.
If an application is found not entitled to registration, the department will advise the applicant and give the reasons for the rejection. The applicant has six months following the rejection within which to reply or amend the application, which will then be re-examined. This procedure may be repeated until
(a) the department finally refuses registration; or
(b) the applicant allows the six-month response period to lapse without filing a reply, amendment, or appeal.
If the applicant fails to file a proper response within six months, the application is deemed abandoned. An abandoned application may be revived as a pending application if it is shown to the satisfaction of the department that the delay was unavoidable.


§ 140.6 Classification of goods and services.
The following classification of goods and services is established for convenience of administration, as required by General Business Law, section 360-i.
1. Chemical products used in industry, science, photography, agriculture, horticulture, forestry; artificial and synthetic resins; plastics in the form of powders, liquids or pastes, for industrial use; manures (natural and artificial); fire extinguishing compositions; tempering substances and chemical preparations for soldering; chemical substances for preserving foodstuffs; tanning substances; adhesive substances used in industry.
2. Paints, varnishes, lacquers; preservatives against rust and against deterioration of wood; coloring matters, dyestuff; Mordants; natural resins; metals in foil and powder form for painters and decorators.
3. Bleaching preparations and other substances for laundry use, cleaning, polishing, scouring, and abrasive preparations; soaps; perfumery, essential oils, cosmetics, hair lotions; dentifrices.
4. Industrial oils and greases (other than edible oils and fats and essential oils); lubricants; dust laying and absorbing compositions; fuels (including motor spirit) and illuminants; candles, tapers, night lights and wicks.
5. Pharmaceutical, veterinary, and sanitary substances; infants' and invalid's foods; plasters, material for bandaging; material for stopping teeth, dental wax; disinfectants; preparations for killing weeds and destroying vermin.
6. Unwrought and partly wrought common metals and their alloys; anchors, anvils, bells, rolled and cast building materials; rails and other metallic materials for railway tracks; chains (except driving chains for vehicles); cables and wires (nonelectric); locksmiths' work; metallic pipes and tubes; safes and cash boxes; steel balls; horseshoes; nails and screws; other goods in nonprecious
metal not included in other classes; ores.
7. Machines and machine tools; motors (except for land vehicles); machine couplings and belting (except for land vehicles); large size agricultural implements; incubators.
8. Hand tools and instruments; cutlery, forks, and spoons; side arms.
9. Scientific, nautical, surveying and electrical apparatus and instruments (including wireless), photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; coin or counter-freed apparatus; talking machines; cash registers; calculating machines; fire extinguishing apparatus.
10. Surgical, medical, dental, and veterinary instruments and apparatus (including artificial limbs, eyes, and teeth).
11. Installations for lighting, heating, steam generating, cooking, refrigerating, drying, ventilating, water supply and sanitary purposes.
12. Vehicles; apparatus for locomotion by land, air, or water.
13. Firearms; ammunition and projectiles; explosive substances; fireworks.
14. Precious metals and their alloys and goods in previous metals or coated therewith (except cutlery, forks, and spoons); jewelry, precious stones, horological, and other chronometric instruments.
15. Musical instruments (other than talking machines and wireless apparatus).
16. Paper and paper articles, cardboard and cardboard articles; printed matter, newspaper and periodicals, books; bookbinding material; photographs; stationery, adhesive materials (stationery); artists' materials; paint brushes; typewriters and office requisites (other than furniture); instructional and teaching material (other than apparatus); playing cards; printers' type and cliches (sterotype).
17. Gutta percha, indiarubber, balata, and substitutes, articles made from these substances and not included in other classes; plastics in the form of sheets, blocks, and rods, being for use in manufacture; materials for packing, stopping, or insulating; asbestos, mica and their products; hose pipes (nonmetallic).
18. Leather and imitations of leather, and articles made from these materials and not included in other classes; skins, hides; trunks and traveling bags; umbrellas, parasols, and walking sticks; whips, harness, and saddlery.
19. Building materials, natural and artificial stone, cement, lime, mortar, plaster, and gravel; pipes of earthenware or cement; road-making materials; asphalt, pitch, and bitumen; portable buildings; stone monuments; chimney pots.
20. Furniture, mirrors, picture frames; articles (not included in other classes) of wood, cork, reeds, cane, wicker, horn bone, ivory, whalebone, shell, amber, mother-of-pearl, meerschaum, celluloid, substitutes for all these materials, or of plastics.
21. Small domestic utensils and containers (not of precious metals, or coated therewith); combs and sponges; brushes (other than paint brushes); brushmaking materials; instruments and material for cleaning purposes, steel wool; unworked or semiworked glass (excluding glass used in building); glassware, porcelain, and earthenware, not included in other classes.
22. Ropes, string, nets, tents, awning, tarpaulins, sails, sacks; padding and stuffing materials (hair, kapok, feathers, seaweed, etc.); raw fibrous textile materials.
23. Yarns, threads.
24. Tissues (pieces goods); bed and table covers; textiles articles not included in other classes.
25. Clothing, including boots, shoes, and slippers.
26. Lace and embroidery, ribands and braid; buttons, press buttons, hooks and eyes, pins and needles; artificial flowers.
27. Carpets, rugs, mats and matting; linoleums and other materials for covering existing floors; wall hangings (nontextile).
28. Games and playthings; gymnastic and sporting articles (except clothing); ornaments and decorations for Christmas trees.
29. Meat, fish, poultry, and game; meat extracts; preserved, dried and cooked fruits and vegetables; jellies, jams, eggs, milk and other dairy products; edible oils and fats; preserves, pickles.
30. Coffee, tea, cocoa, sugar, rice, tapioca, sago, coffee substitutes; flour, and preparations made from cereals; bread, biscuits, cakes, pastry and confectionery, ices; honey, treacle; yeast, baking powder; salt, mustard, pepper, vinegar, sauces, spices; ice.
31. Agricultural, horticultural, and forestry products and grains not included in other classes; living animals; fresh fruits and vegetables; seeds; live plants and flowers; foodstuffs for animals, malt.
32. Beer, ales, and porter; mineral and aerated waters and other nonalcoholic drinks; syrups and other preparations for making beverages.
33. Wines, spirits, and liqueurs.
34. Tobacco, raw or manufactured; smokers' articles; matches.
35. Advertising and business.
36. Insurance and financial.
37. Construction and repair.
38. Communication.
39. Transportation and storage.
40. Material treatment.
41. Education and entertainment.
42. Miscellaneous.


§ 140.7 Withdrawal of application.
Prior to actual registration of a mark, the applicant by written request may withdraw the application.

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