Mo. Code Regs. tit. 11 § 45-4.030

Current through Register Vol. 49, No. 23, December 2, 2024

Section 11 CSR 45-4.030 - Application for Class A or Class B License

PURPOSE: This amendment adds a requirement for political contributions to be reported for other locations as well as Missouri.

(1) License application shall be made on a form obtained from the commission. Each Class A or Class B license applicant must submit the Riverboat Gaming Application Form for itself, a Key Person and License Level I Application for each individual key person associated with the application and a Key Business Entity Riverboat Application Form for each key business entity associated with the applicant. The applicant must also submit Personal Disclosure Form II for any other person or entity (other than occupational licensees) associated with the applicant in any way, who is required by the commission or the director to execute such forms, which forms shall become part of the Class A or Class B application along with the key person/key business entity forms. A copy of all necessary forms is available for public inspection at the offices of the commission and online at the commission's web site.

(2) For a Class A or Class B license an applicant must disclose on an application form obtained from the commission at a minimum-

(A) The applicant's full name, telephone number and the type of organizational structure under which the organization operates, including, without limitation, whether the applicant is an operating company or a holding company, identification of key persons/key business entities, including identification of chief administrative officers, the background and skills of applicant and key persons;

(B) The business address and telephone number of the organization and all former addresses within ten (10) years, and all addresses of subsidiary or parent corporations;

(C) The name, address and telephone number of applicant's registered agents, legal representatives, accounting representatives, banking and financial representatives, underwriters and custodian of records in Missouri and elsewhere;

(D) Information on the ability of applicant and key persons/key business entities to conduct gaming operations;

(E) If the applicant is an individual, the license application must disclose-

1. The applicant's legal name and address and all former addresses within ten (10) years;

2. Whether the applicant is a United States citizen;

3. Any aliases or business names which have ever been or are being used by the applicant; and

4. Copies of state and federal tax returns for the past five (5) years;

(F) If the applicant is a corporation, the applicant must disclose on the application-

1. The applicant's full corporate name and any trade names or fictitious names used by the applicant in this or any other jurisdiction;

2. The jurisdiction and date of incorporation;

3. The date the applicant commenced doing business in Missouri, if any, and if the applicant is incorporated in any jurisdiction other than Missouri, a copy of the applicant's certificate or authority to do business in Missouri;

4. Copies of each of the following:

A. Articles of Incorporation;

B. Bylaws and all bylaw amendments;

C. Federal corporate tax returns for the past five (5) years;

D. State corporate tax returns for the past five (5) years; and

E. The applicant's most current annual report, which shall include audited financial statements;

5. To the extent not disclosed in any document required to be submitted, the applicant's Federal Employer Identification Number (FEIN), and all tax identification numbers including, without limitation: sales tax number, employer withholding tax number and corporate income tax number;

6. The location and custodian of the applicant's business records;

7. A statement of the general nature of applicant's business;

8. Whether the applicant is publicly held as defined by the rules of the Securities and Exchange Commission;

9. All the classes of stock authorized by the Articles of Incorporation. As to each class, the applicant shall disclose-

A. The number of shares authorized;

B. The number of shares issued;

C. The number of shares outstanding;

D. The par value of each share;

E. The issue price of each share;

F. The current market price of each share;

G. The number of shareholders currently listed on the corporate books; and

H. The terms, rights, privileges and other information each class of stock possesses;

10. If the applicant has any other obligations or securities authorized or outstanding which bear voting rights either absolutely or upon any contingency, together with the nature of the obligations. In addition, the following shall be disclosed for each obligation:

A. The face or par value;

B. The number of units authorized;

C. The number of units outstanding; and

D. Any conditions upon which the units may be voted;

11. The names in alphabetical order and addresses of the directors. As to each director, the following information shall be included: the number of shares held of record as of the application date-

A. If the director owns no shares, the application shall so state; and

B. Ownership of shares shall include beneficial owners of the stocks or certificates or other evidence of ownership in such organization, may become the owner or holder, directly or indirectly, of any such shares of stocks or certificates or other evidence of ownership;

12. The names, in alphabetical order, and addresses of the officers of the applicant. The following information shall be included for each officer: the number of shares held on record as of the application date-

A. If the officer owns no shares, the application shall so state; and

B. Ownership of shares shall include beneficial owners. Beneficial ownership includes, but is not limited to, record ownership and:

(I) Stock or other ownership in one (1) or more entities in a chain of parent and subsidiary or affiliated entities, any one (1) of which participates in the capital or profits of a licensee, regardless of the percentage of ownership involved; or

(II) Any interest which entitles a person to benefits substantially equivalent to ownership by reason of any contract, understanding, relationship, agreement or other arrangement even though the person is not the record owner. Unless there are special circumstances, securities held by an individual's spouse or relatives, including children, living in the home, who are beneficially owned by the individual;

13. The names, in alphabetical order, and addresses of each record stockholder of the corporation. Stockholder shall mean record owners or beneficial owners (as defined in (2)(F)12.B. above) of the stocks or certificates or other evidence of ownership in such organization, may become the owner or holder, directly or indirectly, of any such shares of stocks or certificates or other evidence of ownership. The applicant shall also include a percentage of the voting shares of stock owned by each record stockholder. If the applicant is publicly held and shares of stock are held in street name by a nominee, an agent or trust, the applicant shall render maximum assistance to the commission, upon its request, to determine the beneficial ownership of the shares of stock;

14. Each jurisdiction for which the corporation has met filing and disclosure requirements of state securities registration and filing laws, the Securities Act of 1933 or the Securities and Exchange Act of 1934. The applicant shall include the most recent registration statement and annual report filed with the Securities and Exchange Commission and each state in which the corporation has registered or filed the report.

A. If the applicant has not registered or filed any statements with the Commissioner of Securities of the Secretary of State of Missouri, the applicant must state the reason the filing has not been made, including specific reference to the exemption or exception upon which the applicant relies for not filing with the Commissioner of Securities of the Secretary of State of Missouri; and

B. If the applicant has filed with the Commissioner of Securities of the Secretary of State of Missouri, copies of all filings beginning with the most recent, up to and including the first statement filed or for the past five (5) years, whichever is shorter, shall be included with the application;

15. The name and address of any previous owners (within five (5) years) of the applicant, together with the previous owner's FEIN and all applicable tax numbers; and

16. All documents concerning transfer of ownership (within five (5) years), a list of assets, the purchase price, the date of purchase and any agreements for the purchase of assets by and between the applicant and any previous owner or successor;

(G) If the applicant is an organization other than a corporation, the following information must be disclosed:

1. The applicant's full name including any trade names or fictitious names currently in use by the applicant in Missouri or any other jurisdiction;

2. The jurisdiction in which the applicant is organized;

3. Copies of any written agreement, constitution or other document creating or governing the applicant's organization, powers of organization;

4. The date the applicant commenced doing business in Missouri-

A. If the applicant is organized under laws other than Missouri law, a copy of the authorization of the state of Missouri to do business in Missouri; and

B. If no authorization to do business in Missouri has been obtained, the applicant must state the reason the authorization has not been obtained;

5. The applicant's federal and state tax returns for the past five (5) years;

6. The general nature of the applicant's business;

7. The names, in alphabetical order, and addresses of each partner, officer or other person having or sharing policy-making authority. As to each such person, the applicant must disclose the nature and extent of any ownership interest.

A. Ownership interest shall include any beneficial owner. Beneficial ownership includes, but is not limited to, record ownership and:

(I) Stock or other ownership in one (1) or more entities in a chain of parent and subsidiary or affiliated entities, any one (1) of which participates in the capital or profits of a licensee, regardless of the percentage of ownership involved; or

(II) Any interest which entitles a person to benefits substantially equivalent to ownership by reason of any contract, understanding, relationship, agreement or other arrangement even though the person is not the record owner Unless there are special circumstances, securities held by an individual's spouse or relatives, including children, living in the home, who are beneficially owned by the individual.

B. Any voting interest, whether absolute or contingent, and the terms upon which the interest may be voted;

8. The names, in alphabetical order, and addresses of any individual or other entity who holds a record or beneficial ownership. Beneficial ownership includes, but is not limited to, record ownership and:

1) Stock or other ownership in one (1) or more entities in a chain of parent and subsidiary or affiliated entities, any one (1) of which participates in the capital or profits of a licensee, regardless of the percentage of ownership involved; or

2) Any interest which entitles a person to benefits substantially equivalent to ownership by reason of any contract, understanding, relationship, agreement or other arrangement even though the person is not the record owner Unless there are special circumstances, securities held by an individual's spouse or relatives, including children, living in the home, who are beneficially owned by the individual. The following information shall be given concerning each individual:

A. The nature of the ownership interest;

B. Whether the ownership interest carries a vote and the terms upon which the interest may be voted; and

C. The percentage of ownership;

(H) Whether the applicant is directly or indirectly controlled to any extent or in any manner by another individual or entity. If so, the applicant must disclose the identity of the controlling entity and a description of the nature and extent of the control. If the controlling entity is not an individual, the information required by this rule for the corporation, partnership or other organization controlling the applicant must be disclosed;

(I) Any agreements or understandings which the applicant or any individual or entity identified in this rule has entered into regarding operation of gambling games. If the agreement or understanding is written, a copy of the agreement must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application. Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency;

(J) Any agreements or understandings which the applicant has entered into for the payment of fees, rents, salaries or other compensation by the applicant or to the applicant. If the agreements or understandings are written, copies of the written documents must accompany the application. If the agreement or understanding is oral, the terms shall be reduced to writing and must accompany the application. Should the agreement or understanding be contingent in nature, the applicant shall disclose the nature of the contingency;

(K) Whether applicant or parent company, if applicant is a subsidiary, or any key person/key business entity currently holds or has ever held a license or permit issued by a governmental authority to own or operate a gaming facility or conduct any aspect of gambling. If the applicant, parent company or key person/key business entity has held or holds a license or permit, the following must be disclosed:

1. The identity of the license or permit holder;

2. The jurisdiction issuing the license or permit;

3. The nature of the license or permit; and

4. The dates of issuance and termination, if any;

(L) Whether any person currently serving, or any person who has within the past two (2) years served, as a member of the commission, an employee of the commission, a member of the general assembly, or as an elected or appointed official of the state or of any city or county in Missouri in which the licensing of excursion gambling boats has been approved, has any ownership interest in applicant;

(M) The applicant must disclose names and titles of all public officials, or officers of any unit of government, and relatives of the public officials or officers who, directly or indirectly, own any financial interest in, have any beneficial interest in, or the creditors of, or hold any debt instrument issued by, or hold and have any interest in any contractual service relationship with applicant;

(N) The applicant must disclose all political contributions, loans, donations, or other payments of one hundred dollars ($100) or more, applicant has made directly or indirectly to any candidate or officeholder, within five (5) years prior to application; and

(O) The applicant shall provide a detailed itemized summary of all income received and expenses incurred relating to the preparation of the application for a Class A or Class B license. The summary shall include the source of income and the amount paid, the recipient and a brief description of goods or services purchased. The summary shall be updated by the applicant periodically throughout the application process.

(3) If the "applicant" as used in this rule shall include the controlling individual or entity, is directly or indirectly controlled by another individual or entity, the applicant must disclose with respect to applicant and all key persons-

(A) Whether the individual or entity has been charged, convicted, or both, or entered a plea of guilty or nolo contendere, or forfeited bail concerning any charge in any criminal proceeding, and whether or not a sentence was imposed. If any individual or entity has been so charged, convicted, or both, the applicant must disclose-

1. The date charged, convicted, or both, or entry of judgment;

2. Arresting agency and prosecuting agency;

3. The court;

4. The case number;

5. The offense of which charged or convicted;

6. If convicted, whether by plea or finding of a judge or jury; and

7. If convicted, the sentence imposed, if any;

(B) Whether any individual or entity has been a party in a civil proceeding in which s/he has been alleged to have engaged in any unfair or anti-competitive business practice, a securities violation or false or misleading advertising. If any individual or entity has been a party to the civil proceeding, the applicant must provide:

1. The date of commencement of the proceeding;

2. The court and location;

3. The circumstances;

4. The date of any resolution including settlements;

5. The terms of any settlement;

6. The result of any trial; and

7. The result of any appeal;

(C) Whether any individual or entity has ever applied for, withdrawn, had a gambling, or other business or professional license or permit revoked, suspended, restricted, denied or the renewal of the license denied, or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose-

1. The licensing authority;

2. The date of commencement;

3. The circumstances;

4. The date of decision; and

5. The result;

(D) Whether any individual or entity has been accused in an administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination or gambling. If any individual or entity has been involved in any proceeding, the applicant must disclose-

1. The date of commencement;

2. The forum;

3. The circumstances;

4. The date of any decision; and

5. The result;

(E) Whether any individual or entity has commenced an administrative or judicial action against a government regulator of gambling. If so, the applicant must disclose-

1. The date of commencement;

2. The forum;

3. The circumstances;

4. The date of any decision; and

5. The result;

(F) Whether any individual or entity has been the subject of voluntary or involuntary bankruptcy proceeding or has ever been involved in any formal process to adjust, defer, suspend or otherwise work out payment of any debt. If so, the applicant must disclose-

1. The date of commencement;

2. The forum;

3. The case number;

4. The circumstances;

5. The date of decision; and

6. The result;

(G) Whether any individual or entity has failed to satisfy any judgment, decree or order of any administrative or judicial tribunal. If so, the applicant must disclose-

1. The date; and

2. The circumstances surrounding the failure;

(H) Whether any individual or entity has been delinquent in filing a tax report required or remitting a tax imposed by any government or has been served with a complaint or other notice regarding delinquency or a dispute over filings concerning any payment of tax to any government. If so, the applicant must disclose-

1. The taxing agency and location;

2. The amount and type of tax;

3. The date the filing or tax report was required;

4. The date the filing or remission was accomplished; and

5. The complete circumstances surrounding the delinquent filing or remission; and

(I) Whether any individual suffers from a current addiction to a controlled substance. If so, the applicant must disclose the circumstances.

(4) If the applicant is directly or indirectly controlled by another individual or entity, this must be disclosed. "Applicant" as used in this rule shall include the controlling individual or entity.

(5) If an individual, the applicant must disclose all businesses in which applicant, applicant's spouse or applicant's children have an equity interest.

(6) If the applicant is a corporation, partnership, other business entity or individual, the applicant must disclose all other corporations, partnerships or business entities in which it has an equity interest including state of incorporation or registration, if applicable. This information need not be provided by a corporation, partnership or business entity that has a pending registration statement filed with the Federal Securities and Exchange Commission.

(7) An applicant for a Class A or Class B license must disclose all financial interests that any officer, director or significant shareholder (defined as having an ownership interest in the applicant of five percent (5%) or more) has in any entity involved in gambling. The financial interests shall include all direct and indirect interests.

(8) The financial interests of each individual disclosed under this rule shall be set forth separately and shall include:

(A) The entity in which the financial interest exists;

(B) The nature of the financial interests;

(C) The amount of capital investment; and

(D) Actual returns for the past five (5) years.

(9) Applicants must disclose all improvements and equipment, including:

(A) A complete description of each gambling boat including:

1. The extent the boat recreates boats that are significant to Missouri's riverboat history and if it is a cruising or continuously docked boat;

2. The complete layout of the boat;

3. The gambling games for which the boat is designed;

4. The capacity of the boat;

5. The proposed location and configuration of gaming and non-gaming areas;

6. The proposed location and configuration of concessions including food and beverage service and Missouri theme gift shop;

7. The number and location of men's and women's restrooms;

8. A description of improvements and equipment for security purposes; and

9. A description of disabled persons' access; and

(B) A complete description of the docking area including: a description of improvements and proposed use-

1. An address of the facility, its size and geographical location, including reference to county and municipal boundaries;

2. A site map which reflects current and proposed highways and streets adjacent to the facility;

3. A description of parking, including all of the following information:

A. A detailed description of access to parking from surrounding streets and highways;

B. The number of parking spaces available;

C. A description of any parking other than public parking and its location;

D. A description of the road surface on the parking area;

E. The distance between the parking area(s) and the dock facility;

F. A road map of the area showing the relationship of parking to surrounding streets and highways. The requirements of this part may be included on the site map required by subparagraph (1)(B)1.B. of this rule; and

G. A description of security plans including attendants, lights, phones and emergency auto service;

4. A description of access of the facility to public transportation, specifics of the type of transportation and schedules, road maps of area indicating pickup and drop-off points. The requirements of this part may be included on the site map required in subparagraph (1)(B)1.B. of this rule;

5. A description of the overnight accommodations for the public including:

A. The number of hotel/motel rooms;

B. The number of campgrounds, if any; and

C. The distance from other population centers to the facility for all population centers from which the applicant expects to draw patrons;

6. A description of the public access to the community surrounding the proposed facility including air service, train service and highways; and

7. A schedule of excursions or, if appropriate, a schedule of continuously docked excursions.

(10) With regard to the development of its gambling facility, applicants must disclose-

(A) The total cost of construction of the facility or any modifications of an existing facility, distinguishing between fixed costs and projections;

(B) Separate identification of the following costs, if applicable, distinguishing between fixed costs and projections:

1. Facility design;

2. Land acquisition;

3. Site preparation;

4. Improvements and equipment;

5. Interim financing;

6. Permanent financing; and

7. Organization, administrative, accounting and legal;

(C) Documentation of fixed costs;

(D) The schedule for construction, if any, of the facility or any modifications to an existing facility including estimated completion date-

1. Provide an estimated time schedule for construction, including how long after licensure will the proposed project be fully operational. Show the number of months after the license is granted that each of the following activities will commence and be completed:

A. Solicitation of bids;

B. Award of construction contract(s);

C. Construction commencement;

D. Completion of construction;

E. Occupancy of new facility or space;

F. Training of staff; and

G. Commission check and inspection of facility for public and gambling readiness;

2. With respect to the solicitation of bids, awarding of construction contracts, commencement of construction and completion of construction, provide an itemized timetable for the components of the construction program listed here:

A. Construction of dock facilities;

B. Land clearing;

C. Site preparation and grading;

D. Landscaping; and

E. Other (specify); and

3. The applicant's plans must meet the fire safety requirements of the state fire marshal. Applicants shall attach a letter from the state fire marshal stating tentative approval;

(E) Schematic drawings;

(F) Copies of any contracts with and performance bonds for each of the following:

1. Architect or other design professional;

2. Project engineer;

3. Construction engineer;

4. Contractors and subcontractors; and

5. The equipment procurement personnel; and

(G) Evidence of acquisition or lease of the site by applicant. If the site is not owned or currently leased by the applicant, the applicant must disclose the plans for the acquisition or lease or other use of the site.

(11) If the "applicant" as used in this rule shall include the controlling individual or entity, is directly or indirectly controlled by another individual or entity, an applicant for a Class A or Class B license must disclose the following with regard to financial resources:

(A) Most recent audited financial statements prepared in accordance with generally accepted accounting principles; and

(B) Equity and debt sources of funds to develop and operate each riverboat gambling operation for which the license is requested:

1. For each source of equity contribution, the following information must be included:

A. Identification of the source;

B. The amount;

C. The form;

D. Method of payment;

E. The nature and amount of present commitment; and

F. Documentation;

2. For each source of debt contribution, the following information must be provided:

A. Identification of the source;

B. The amount;

C. Terms of the debt;

D. Collateral, if any;

E. Identity of guarantors, if any;

F. Nature and amount of commitments; and

G. Documentation; and

3. If the applicant anticipates obtaining further equity or debt contributions, the applicant must disclose the plans for obtaining commitments;

(C) Identification and description of sources of additional funds, if needed, due to cost overruns, nonreceipt of expected equity or debt funds, failure to achieve projected revenues or other cause; and

(D) An applicant for a Class A or Class B license must disclose the following with regard to bank accounts:

1. The name and address of all banking institutions or depositories holding funds of the applicant;

2. Corresponding account numbers for each account;

3. The name and address of the responsible bank officer; and

4. All authorized signatures for the deposit and withdrawal of funds.

(12) The applicant for a Class A or Class B license must disclose its financial projections for the developmental period and for the first two (2) years of the conducting of excursions, including all related assumptions and anticipated impact of competition from other river-boats licensed in Missouri and other neighboring states.

(13) The applicant for a Class A or Class B license must disclose any lease with a home dock city or county.

(14) The applicant for a Class A or Class B license must disclose any resolution adopted by the city or county where operations will be located, supporting the docking and land-based economic development or impact plan of the applicant.

(15) An applicant for a Class A or Class B license must disclose with regard to governmental agencies-

(A) The street and highway improvements necessary to insure adequate access to applicant's facility and the cost of improvements, status, likelihood of completion and estimated date;

(B) The sewer, water and other public utility improvements necessary to serve applicant's facility and the cost of improvements, status, likelihood of completion and estimated date;

(C) If the applicant has obtained or must obtain any required governmental improvements for its development, ownership or operation by the applicant or any other entity, the following must be disclosed:

1. If the approvals have been obtained-

A. A description of the approval, unit of government, date and documentation;

B. Whether public hearings were held and if they were, the dates and locations of the hearings. If hearings were not held, the applicant must explain the reason; and

C. Whether the unit of government conditioned its approval and, if so, the conditions imposed, including documentation; and

2. As to any approvals from governmental units which remain to be obtained-

A. A description of the approval;

B. The governmental unit which must approve;

C. The status;

D. The likelihood of approval; and

E. The estimated date of approval;

(D) Whether an environmental assessment of the facility has been or will be prepared-

1. If so, the applicant must disclose its status and the governmental unit with jurisdiction; and

2. The applicant must provide a copy of any assessment to the commission;

(E) Whether an environmental impact statement is required for applicant's facility-

1. If so, the applicant must disclose its status and the governmental unit with jurisdiction; and

2. The applicant must provide the commission with a copy of any statement; and

(F) Whether the applicant is in compliance with all statutes, charter provisions, ordinances and regulations pertaining to the development, ownership and operation of its facility. If the applicant is not in compliance, the following information must be disclosed:

1. The reasons why the applicant is not in compliance; and

2. The plans for compliance or exemption from any such requirements.

(16) An applicant for a Class A or Class B license must disclose each of the following for the development and ownership of the proposed facility:

(A) A description of the applicant's management plan including:

1. A budget;

2. Identification of management personnel by function;

3. Job descriptions for each position;

4. Qualifications for each position; and

5. A copy of the organizational chart;

(B) Management personnel to the extent known, including the following information for each person:

1. Legal name, including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. Qualifications and experience in the following areas:

A. General business;

B. Real estate development;

C. Construction;

D. Marketing promotion and advertising;

E. Financing and accounting;

F. Gambling operations; and

G. Security; and

4. A description of the terms and conditions of employment, including a copy of any employment agreements;

(C) The following information, to the extent known, must be provided for each consultant or other contractor who has provided or will provide management related services to the applicant:

1. Full name including any alias(es) or previous names;

2. Current residence and business addresses and telephone numbers;

3. Nature of the services provided or to be provided;

4. Qualifications and experience of the consultant or contractor; and

5. Description of the terms and conditions of any agreement including a copy of the agreement;

(D) A description of the applicant's security plan in compliance with 11 CSR 45-7.120, including:

1. Number and development/deployment of security personnel used by the applicant during the excursions, security staff levels and deployment at other times;

2. Specific security plans;

3. Specific plans to discover persons to be excluded;

4. Description of video-monitoring equipment and its use; and

5. Coordination of security with law enforcement agencies in the area;

(E) A description of the applicant's marketing, promotion and advertising plans;

(F) A description of the applicant's plans for concessions, including whether the licensee will operate concessions, and if not, who will;

(G) A description of training of the applicant's personnel; and

(H) A description of plans for compliance with the following:

1. The laws pertaining to discrimination, equal employment and affirmative action;

2. Policies regarding recruitment, use and advancement of women and minorities;

3. Policies with respect to minority contracting;

4. A copy of Equal Opportunity Statement and Policy of the applicant dated and signed by the chief executive officer;

5. A copy of an Affirmative Action Policy Procedures dated and signed by the chief executive officer; and

6. Identification of the affirmative action officer including his/her name, title, address and telephone number.

(17) An applicant for a Class A or Class B license must disclose the impact of its gambling facility including:

(A) Economic impact-

1. The employment created and specifics as to the number of jobs, distinguishing between permanent and temporary, the type of work, compensation, employer and how created;

2. Purchase of goods and services and specifics as to the amounts and types of purchases, including use of Missouri goods and services;

3. Public and private investment; and

4. Tax revenues generated;

(B) Ecological impact;

(C) Impact on energy conservation and development of alternative energy sources; and

(D) Social impact.

(18) An applicant for a Class A or Class B license must disclose public support and opposition, whether by governmental officials or agencies, private individuals or groups and must supply documentation for the support or opposition.

(19) By applying for a license, an applicant agrees that if granted a license, s/he irrevocably consents and agrees-

(A) To the appointment of a supervisor by the commission to exercise any powers that the licensee would have in the conduct of his/her gaming enterprise in the event the commission suspends or revokes his/her license;

(B) To the appointment by the commission, or its designee, of his/her attorney-in-fact in the event of a commission Order of Supervision to exercise any authority of the licensee or any of its officers or employees including, but not limited to, the right of the attorney-in-fact to affix his/her signature to any document appropriate to the operation and management of the gaming enterprise; and

(C) That subsequent change in Missouri law or of the commission rules may diminish the value of his/her license to any extent possible.

(20) The applicant shall be responsible to keep the application current at all times. The applicant shall notify the commission in writing within ten (10) days of any changes to any response in the application and this responsibility shall continue throughout any period during which an application is being considered by the commission. All updates to applications must be submitted by exhibit so that each affected exhibit is resubmitted with the updated information and with the date of resubmission. If any application update is not made in this manner, the commission may deem the update not to be effective.

(21) The commission may require an affidavit, signed on behalf of the applicant or licensee, to be submitted as an addendum to the application, regarding matters related to the applicant or licensee or the proposed operation, including but not limited to, the involvement of any individual in the proposed or licensed riverboat gaming operations of the applicant or licensee.

11 CSR 45-4.030

AUTHORITY: sections 313.004 and 313.807, RSMo 2000 and section 313.805, RSMo Supp. 2010.* Emergency rule filed Sept. 1, 1993, effective Sept. 20, 1993, expired Jan. 17, 1994. Emergency rule filed Jan. 5, 1994, effective Jan. 18, 1994, expired Jan. 30, 1994, Original rule filed Sept. 1, 1993, effective Jan. 31, 1994. Emergency amendment filed March 2, 1995, effective March 12, 1995, expired July 9, 1995. Amended: Filed March 2, 1995, effective Aug. 30, 1995. Amended: Filed June 25, 1996, effective Feb. 28, 1997. Amended: Filed Sept. 2, 1997, effective March 30, 1998. Amended: Filed May 13, 1998, effective Oct. 30, 1998. Amended: Filed Oct. 29, 2001, effective May 30, 2002. Amended: Filed Dec. 3, 2007, effective May 30, 2008. Amended: Filed Feb. 23, 2011, effective Oct. 30, 2011.

Amended by Missouri Register July 1, 2014/Volume 39, Number 13, effective 8/31/2014

Amended by Missouri Register February 16, 2016/Volume 41, Number 04, effective 3/31/2016

*Original authority: 313.004, RSMo 1993, amended 1994; 313.805, RSMo 1991, amended 1993, 1994, 2000, 2008; and 313.807, RSMo 1991, amended 1993, 2000.