Code of Maine Rules › 16 - DEPARTMENT OF PUBLIC SAFETY › 633 - GAMBLING CONTROL BOARD › Chapter 2 - LICENSES AND APPLICATIONS › Section 633-2-1 - Application - Slot Machine Operator

Current through 2024-29, July 17, 2024
1. An applicant
				for a license to act as a Slot Machine Operator shall apply on forms specified
				by the Board. In addition to any information required by statute, application
				forms may require the applicant to provide the following:
A. The applicant's legal name, form of
				entity, the names, addresses, employer identification or social security
				numbers (if applicable) and dates of birth (if applicable) of its directors,
				officers, partners, owners, key executives and slot machine or casino
				operations employees, to the extent available.
B. A description of the applicant's
				organizational structure. This will include an organizational chart listing key
				executives and positions being held for gaming operations along with their
				duties and responsibilities.
C.
				With respect to any persons named in subparagraph (A) that are not individuals,
				the names, addresses, social security numbers, and dates of birth of all
				individuals who are directors, officers, owners, partners, key
				executives.
D. The percentages of
				shares of stock, if any, held by each person named in subparagraph (A) or
				subparagraph (C) above. The Director may, at his or her discretion, cause
				periodic reexamination of the percentage of shares held by persons subject to
				such disclosures under these regulations.
E. The names of all persons principally
				involved in the original creation of the applicant's enterprise.
F. Responses to questions designed to elicit
				information necessary for the Board to evaluate the qualification and
				suitability of the applicant pursuant to 8 M.R.S.A. Chapter 31, §1016,
				subsection
				2.
G. Certified copies, including amendments, of
				the applicant's charter, bylaws, articles of incorporation, articles of
				organization, partnership agreement, including the amount and date of each
				capital contribution of any partner to the applicant, trust agreement, and
				other documents that document or explain the legal organization of the
				applicant.
H. Unless a
				municipality, the name, address, and date of birth of the record owner of the
				premises or the property upon which the premises are located or, if the
				applicant is not the sole owner of the premises or property, the information
				required by subparagraph (A) above with respect to all persons having an
				ownership interest in the premises or property and copies of all agreements
				pursuant to which the applicant occupies the premises or property, as well as
				copies of all documents relating to the premises or property including, without
				limitation, all mortgages, deeds of trust, bonds, debentures, pledges of
				corporate stock and voting trust agreements, but excluding easements; utility
				agreements; subdivision and plot plans; and, for the period prior to three
				years before the filing of the application, deeds in the chain of title and
				satisfied mortgages.
I. Certified
				copies of organizational minutes and/or other corporate records reflecting
				ownership and the election of officers.
J. The information required by subparagraph
				(A) above as to any operator of any business conducted by such applicant and
				any other contractor (which is not a publicly traded entity, a public utility
				or a municipality) utilized by such applicant which has received compensation
				from such applicant in excess of $100,000 for gambling-related services in any
				of the three (3) preceding fiscal years together with a copy of all agreements
				between such applicant and such operator or contractor and a statement of all
				compensation paid to such operator or contractor during said three-year
				period.
K. Copies of the
				applicant's audited financial statements for the preceding three (3) fiscal
				years and a copy of internally prepared financial statements for the current
				fiscal year as at the close of the most recent fiscal quarter.
L. If a corporation, annual reports and SEC
				filings, if any, for past 3 years and meeting minutes from past 12
				months.
M. Copies of the
				applicant's State and Federal tax returns for a period of three (3) fiscal
				years.
N. Copies of the declaration
				pages of all insurance policies insuring the applicant or the
				premises.
O. A copy of the
				Certificate of Authority to do business in the state of Maine, if incorporated
				outside of Maine.
P. Copies of any
				Trade Name Registrations filed by the applicant.
Q. The information required by subparagraph
				(A) above as to the ten (10) largest unsecured creditors which are not publicly
				traded entities or accounting firms or legal firms of the applicant who are
				owed more than $25,000 by the applicant for a period in excess of sixty
				days.
R. Any and all other
				information as the Director may require to determine the competence, honesty
				and integrity of the applicant as required by 8 M.R.S.A. Chapter 31.
S. The Slot Machine Operator shall certify by
				a sworn notarized statement that it has not entered and does not intend to
				enter into any joint venture, partnership or teaming agreement in order to
				fulfill its obligations in connection with the slot machine operations; that it
				has not entered and does not intend to enter into any agreement whereby the
				proceeds generated by any agreement between the Slot Machine Operator and the
				Board would be shared with one or more other persons. Provided, however, that a
				slot machine operator may enter into a management agreement with a third-party,
				who is not licensed under these regulations, for the operation of the slot
				machines on the operator's premises provided that:
(1) the proposed management agreement is
				provided to and approved by the Board, and
(2) the third-party complies with all these
				regulations which apply to slot machine operators, including without limitation
				the licensure requirements.