Section 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 bank holding
  company under section one hundred forty-two of this chapter  or  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.