Section 3428. Funeral directing; registration of licenses; fees

1. (a)
  Every person who, within the state, practices  as  a  funeral  director,
  undertaker  or embalmer and every person, partnership or corporation who
  or which owns or operates within the state  a  funeral  firm  as  herein
  defined  shall  biennially  apply  to  the department for an appropriate
  certificate of registration and report, in a  statement  subscribed  and
  affirmed  as true under the penalties of perjury, any facts requested by
  the department.
    (b) Such report by a  corporation  also  shall  set  forth  the  name,
  residence  address  and  title of each of its officers and directors and
  the name and residence address of each  stockholder  and  other  person,
  firm  and  corporation  having  a ten per centum or greater proprietary,
  beneficial, equitable or credit interest therein.
    (c) Every such report also shall contain a statement as to whether the
  applicant and, if a partnership, any partner and, if a corporation,  any
  of  the  officers,  directors,  stockholders  or other persons, firms or
  corporations required to be listed therein had been convicted of a crime
  in  the  two  year  period  immediately  preceding  the  date  of   such
  application.   Such   statement   shall  identify  such  crime  and  the
  jurisdiction involved and the disposition of the charge.
    (d) Every such report shall contain a  statement  as  to  whether  the
  applicant  and, if a partnership, any partner and, if a corporation, any
  of the officers, directors, stockholders  or  other  persons,  firms  or
  corporations  required  to  be  listed therein, or any funeral firm with
  which such applicant, partner, officer, director,  stockholder,  person,
  firm  or corporation has been affiliated, has been found in violation of
  the provisions of this  article  or  any  statute,  rule  or  regulation
  relating  to  funeral  directing.  Such  statement  shall  identify such
  statute, rule or  regulation  and  the  disposition  of  any  proceeding
  thereon.
    (e)   In  addition  to  such  report,  every  person,  partnership  or
  corporation herein required to apply for  a  certificate  shall  without
  delay  inform  the department by written statement of his conviction, or
  of  the  conviction  of  any  member  of  the  partnership,  or,  if   a
  corporation,  of  the  conviction  of  any  of  its officers, directors,
  stockholders or other persons, firms  or  corporations  required  to  be
  reported as provided by paragraph (b) of this subdivision.
    (f) In addition to any report required pursuant to this section, every
  person,  partnership  or  corporation  herein  required  to  apply for a
  certificate of registration  pursuant  to  this  article  shall  provide
  notice to the department of the proposed: (i) sale or transfer of all or
  substantially  all  of  the  assets  of a funeral firm, (ii) the sale or
  transfer of a controlling interest of such funeral firm,  or  (iii)  the
  termination  of  the  business  of  such  funeral firm where there is no
  transferee of assets or stock. For purposes of this  section,  the  term
  "controlling  interest"  shall  mean  a  fifty-one percent interest in a
  partnership or fifty-one percent of the issued and outstanding shares of
  stock of a corporation. In the case of subparagraphs  (i)  and  (ii)  of
  this  paragraph,  such  notice  to  the  department  shall  identify the
  transferee or transferees of the  assets  or  controlling  interest  and
  contain  a  listing  of  the  names  and  addresses  of  the persons who
  deposited moneys with the funeral firm pursuant to section four  hundred
  fifty-three   of  the  general  business  law,  and  the  amount  to  be
  transferred to the  transferee  or  transferees.  In  the  case  of  the
  termination, cessation of operation or discontinuation of the firm where
  there is no transferee, such notice shall contain a listing of the names
  and  addresses of the persons who deposited funds with the funeral firm,
  the amount  held  in  trust  by  such  funeral  firm  and  the  proposed

  disposition of the moneys so held by such funeral firm. All such notices
  shall  be  provided  to  the department not less than ten days after the
  sale or transfer of such funeral firm or not less than thirty days prior
  to  the  termination,  cessation  of operation or discontinuation of the
  business of such funeral firm.
    2. (a) An undertaker  or  embalmer  shall  pay  to  the  department  a
  biennial registration fee of sixty-two dollars and fifty cents.
    (b)  A  funeral  director shall pay a biennial registration fee of one
  hundred twenty-five dollars; however,  initial  registration  shall  not
  require such fee.
    (c)  Only  a  registered  funeral  firm  may operate, or engage in the
  business and practice of funeral directing. Said business  and  practice
  must be conducted from an approved funeral establishment. In the event a
  funeral   firm   conducts  its  business  from  more  than  one  funeral
  establishment, the firm must be registered from each such establishment.
  In the event more than one firm conducts  its  business  from  the  same
  funeral   establishment,   each   firm   must  be  registered  from  the
  establishment and have an individual manager representing that  firm  at
  that  establishment.  The  initial  registration  fee  for each required
  registration is four hundred dollars for the period ending with the then
  current biennial registration period, and the biennial registration  fee
  thereafter is three hundred dollars.
    (d)  The  owner  of a funeral firm shall pay a registration fee of one
  hundred dollars for the amendment of a certificate  of  registration  to
  indicate  a change of location, change of manager or change in firm name
  thereof.
    (e) For failure to register, an additional fee of ten dollars for each
  delay of thirty days or  part  thereof  beyond  the  first  day  of  the
  biennial  registration  period  shall  be  added to the regular fee. The
  commissioner may, for good cause shown, waive or compromise all  or  any
  part of this additional fee.
    3.  (a)  Upon  verification  of  the  statements thus reported and the
  receipt of the requisite fee, the commissioner shall issue a certificate
  of registration; except that, in  those  instances  where  a  conviction
  shall  have  been  reported  as  herein  required,  or  upon other proof
  thereof, and in the case of a funeral firm where an applicant or,  if  a
  partnership,  any  partner  or,  if  a corporation, any of its officers,
  directors, stockholders or other persons, firms or corporation  required
  to  be  reported as provided by paragraph (b) of subdivision one of this
  section, or  any  funeral  firm  with  which  such  applicant,  partner,
  officer,  director,  stockholder,  person,  firm or corporation has been
  affiliated, has committed repeated violations of the provisions of  this
  article   or  any  statute,  rule  or  regulation  relating  to  funeral
  directing, or has committed a significant violation, as defined  by  the
  commissioner  pursuant to rule and regulation, of the provisions of this
  article  or  any  statute,  rule  or  regulation  relating  to   funeral
  directing, the commissioner may deny an application for a certificate.
    (b)  The  commissioner shall afford the applicant an opportunity to be
  heard at a hearing, on due notice,  conducted  in  accordance  with  the
  provisions  of  this  chapter,  prior  to  the  issuance of any order or
  determination denying such application.
    4. The  commissioner  shall  establish  by  rule  and  regulation  the
  beginning  date of the biennial registration period. In the event that a
  change in the established beginning date of  the  biennial  registration
  period  requires an adjustment in the duration of a registration period,
  there shall be a proportionate adjustment in the prescribed fee.
    5. Each licensee who applies for registration as a  funeral  director,
  undertaker or embalmer during the second year of a biennial registration

  period  shall  pay  a  fee  of  twenty-five dollars for funeral director
  registration  or  twelve  dollars  and  fifty   cents   for   undertaker
  registration,   and   twelve   dollars  and  fifty  cents  for  embalmer
  registration.  However, initial registration for funeral directors shall
  not require such fee.
    6. If any  funeral  director,  undertaker  or  embalmer  continues  to
  practice,  or  any  owner  continues  to operate a funeral firm, without
  registration, as herein provided, his license or  business  registration
  may  be  suspended  or  revoked by the department in accordance with the
  provisions of this article.
    7. A funeral director, undertaker or embalmer who has been  heretofore
  duly  licensed  and  registered  to practice in this state whose license
  shall not have been revoked or suspended, and who either before or after
  registration  as  required  by  this  section  shall  have   temporarily
  abandoned  the  practice of funeral directing, undertaking or embalming,
  or shall have removed from the state, may register within the state upon
  complying with the provisions of  this  section  for  registration,  and
  also,  filing  with  the department a statement of such facts subscribed
  and affirmed by him as true under the penalties of perjury.
    8. Every funeral director, undertaker or  embalmer  shall  communicate
  with  the  department  in  the  event  that  the  application  blank for
  registration fails to reach them.
    9. A funeral director, undertaker or embalmer who has been  heretofore
  duly  licensed  and  registered  to practice in this state whose license
  shall not have been revoked or suspended and  who  no  longer  practices
  funeral   directing,   may   apply   for   an  inactive  certificate  of
  registration. The fee for an inactive certificate of registration  shall
  be  the  same  amount  as  the regular certificate of registration. Upon
  complying with the provisions of this section and section three thousand
  four hundred twenty-nine of  this  title  for  registration,  a  regular
  certificate  of registration shall be reinstated. An inactive registrant
  shall be considered duly licensed and registered solely for the purposes
  of section three thousand four  hundred  forty-three  of  this  article,
  provided, however, that any such registrant using his or her name in any
  advertising  or  promotional  materials  shall  disclose  their inactive
  status in such materials.