Obtaining Information from the Banking Department 

Under the Freedom of Information Law (FOIL), many Banking Department records are available for review.

How should I start?

Some information may be downloaded directly from our Website.  If you do not find the information you are seeking you may contact the Webmaster@banking.state.ny.us for help in locating information.

How do I file a request for information which is NOT offered on the Internet?

You may send the request to us.

In order to enable us to be responsive to your request, please try to be as specific as possible when requesting records, using any identifying information that you may have.

The Department is not obligated to honor duplicative requests from the same requestor for previously requested material when the records in question are essentially identical to an earlier request.

You have two choices:

• EMAIL - If you would prefer to request records via email, you may use this Request for Records By Email. The form language is optional. You should utilize those portions that are most applicable to your request. You may cut and paste the entire form into an email, read all provisions, and delete and/or modify those that do not apply. Then send the email to recordsaccessofficer@banking.state.ny.us.

• LETTER- If you prefer you may send/fax a letter in which you should indicate that you are requesting records under FOIL (NY Public Officer Law Section 87), to:

Records Access Officer
New York State Banking Department
Legal Division
One State Street
New York, New York 10004-1417
Phone: (212) 709-1656
Fax: (212 709-1655

Your request is assigned a log number, entered into our tracking system and then routed to the Division(s) within the Department where the records you seek may reside.  This number will appear on all correspondence you receive from the Department, and will help us to identify your request.

The Division will then attempt to identify and locate the records you have requested.  Records that are located will then be forwarded to the Legal Division for final review.  The Legal Division reviews the documentation in order to determine if the information is responsive to your request and to insure that the release of the records complies with the Freedom of Information Law.  The materials are photocopied and sections that are determined to be non-releasable are blacked out or redacted.

How soon can I expect an answer?

The Records Access Officer will mail/email you an acknowledgment within five business days of receipt of your request. In this acknowledgment, we will estimate how long it will take to gather the records you requested.

For several reasons a request may take longer than usual to process.  Sometimes an answer to a request may contain hundreds or thousands of pages, and may take some time to assemble and to redact.  Sometimes, the material has to be requisitioned from storage.  Other times, the material is located in disparate locations.

In situations in which the Banking Department has determined to grant a request in  whole or in part, and circumstances prevent disclosure within twenty business days from the date of acknowledgement of the receipt of the request, the Banking Department will notify you, in writing or by email, of both the reason for the inability to grant the request within twenty business days and a date within a reasonable period, depending on circumstances, when the request will be granted in whole or in part. 

If you do not receive any communication within the designated time frame(s), you may call the Banking Department at (212) 709-1656 to check on the status of your request.  Please refer to any log number whenever contacting the Department.

What items are exempt from disclosure?

Article 6 of the Public Officers Law, Section 87, includes nine conditions for denial of access.  Some of the most common reasons that records are exempt from disclosure are that the records include: 

• Anything that may result in an unwarranted invasion of personal privacy.  For example: home telephone numbers, home addresses, and Social Security numbers;
• Business records, that if released, could cause harm to the competitive position of a business or enterprise;
• Examination materials;
• Information gathered for law enforcement purposes which, if disclosed, could interfere with an investigation or due process;
• Certain inter-agency or intra-agency materials;
• Anything that may endanger the life or safety of a given individual.

What is the fee?

If you requested the records via email, to the extent it is practicable for the response to be in email form, the Department will email the response without charge. If the requested records will not be emailed due to the volume of records but the records will be provided by Compact Disk or floppy disk, you will be advised of the charge, which is the actual cost of copying the records to these mediums.

If it is practicable for all or part of the records to be provided only in hard copy and/or if you requested all the records via hard copy, you will be charged 25 cents per page for photocopying. For each requestor, the first ten pages per year are free.  Payment is required prior to delivery. If the volume of records is large, the Department may ask for payment prior to processing the request.

Please make your check payable to New York State Superintendent of Banks and record the log number in the memo section of your check. If you have additional questions, please contact us at:

EMAIL: recordsaccessofficer@banking.state.ny.us

OR

Records Access Officer
New York State Banking Department
Legal Division
One State Street
New York, New York  10004-1417
Phone: (212) 709-1656
Fax: (212) 709-1655

Note: The NYS Department of State Committee on Open Government oversees and advises with regard to the Freedom of Information, Open Meetings and Personal Privacy Protection Laws. General information regarding these laws may be found on their website : www.dos.state.ny.us/coog/coogwww.html.