reglab/statecodes huggingface dataset:
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.6a - Restriction on wagering after issuance of a license, permit, registration or certification

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  individual who holds a license, permit or registration and is currently
				  employed by or is a principal of a slot machine licensee may not wager at any
				  slot machine or table game in the licensed facility in which the licensee,
				  permittee or registrant is currently employed or associated. The licensed,
				  permitted or registered individual shall wait at least 30 days following the
				  date that the individual is no longer employed in a position that requires a
				  license, permit or registration before the individual may wager at the licensed
				  facility.
(b) An employee of a slot
				  machine licensee who is not required to obtain a license, permit or
				  registration may not wager in the licensed facility in which the employee is
				  currently employed.
(c) An
				  individual who holds a license, permit or registration and is currently
				  employed by a manufacturer, manufacturer designee, supplier or gaming related
				  gaming service provider may not wager at a slot machine or table game in the
				  licensed facility in which the individual is servicing or installing table
				  games, table game devices, slot machines or associated equipment while the
				  individual is at the licensed facility in the performance of the individual's
				  job duties.
(d) An individual who
				  is a qualifier of a gaming junket enterprise or an individual who is employed
				  as a gaming junket representative may not wager at a slot machine or table game
				  in the licensed facility in which the gaming junket enterprise has an ongoing
				  contractual agreement.
The provisions of this § 423a.6a issued under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 423a - APPLICATIONS; STATEMENT OF CONDITIONS; WAGERING RESTRICTIONS › Section 423a.7 - Restriction on application after denial, withdrawal or surrender with prejudice, or revocation

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A
				  person whose application has been denied or withdrawn with prejudice, or whose
				  license, permit, registration or certification has been revoked or surrendered
				  with prejudice may not apply for a license, permit, certification or
				  registration for 5 years from the date that the application was denied or
				  withdrawn with prejudice, or the license, permit, certification or registration
				  was revoked or surrendered with prejudice.
(b) The 5-year restriction in subsection (a)
				  will not apply:
(1) To applicants for a slot
				  machine license if the denial was for reasons other than
				  unsuitability.
(2) If the denial or
				  revocation was based on pending charges for a disqualifying offense under
				  section 1213 or 1518 of the act (relating to license or permit prohibition; and
				  prohibited acts; penalties), 18 Pa.C.S. (relating to Crimes Code) or the
				  criminal laws of any other jurisdiction and the pending charges did not result
				  in conviction of the disqualifying offense.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 425a - LICENSED ENTITY REPRESENTATIVES › Section 425a.1 - Registration

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A licensed
				  entity representative shall file a completed Licensed Entity Representation
				  Registration Form with the Bureau of Licensing, which includes the individual's
				  name, employer or firm, address, telephone number and the licensed entity being
				  represented.
(b) A licensed entity
				  representative shall update its registration information on an ongoing
				  basis.
(c) The Board will maintain
				  a list of licensed entity representatives. The registration list will be
				  available for public inspection at the offices of the Board and on the Board's
				  web site.
The provisions of this § 425a.1 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 427a - MANUFACTURERS › Section 427a.1 - Manufacturer general requirements

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  A manufacturer seeking to manufacture slot machines, table game devices and
				  associated equipment for use in this Commonwealth shall apply to the Board for
				  a manufacturer license.
(b) In
				  accordance with section
				  1317.1 of the act (relating to
				  manufacturer licenses), an applicant for or the holder of a manufacturer
				  license or any of the applicant's or holder's affiliates, intermediaries,
				  subsidiaries or holding companies may not apply for or hold a slot machine
				  license or supplier license.
The provisions of this § 427a.1 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter 13.
This section cited in 58 Pa. Code §
												1107a.1 (relating to manufacturer
						licenses).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 427a - MANUFACTURERS › Section 427a.2 - Manufacturer license applications and standards

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An applicant for a manufacturer license
				  shall submit:
(1) An original and one copy of
				  the Manufacturer Application and Disclosure Information Form for the applicant
				  and each of the applicant's principal affiliates.
(2) The nonrefundable application fee posted
				  on the Board's web site.
(3) A
				  diversity plan as set forth in section 1325(b) of the act (relating to license
				  or permit issuance) and Chapter 481a (relating to diversity).
(4) An application from every key employee
				  under §
											435a.2 (relating to key employee
				  license) and principal under Chapter 433a (relating to principal licenses) as
				  specified by the Manufacturer Application and Disclosure Information Form and
				  other persons as determined by the Board.
(5) An affirmation that neither the applicant
				  nor any of its affiliates, intermediaries, subsidiaries or holding companies is
				  an applicant for or holder of a slot machine license, and that the applicant
				  has neither applied for nor holds a supplier license.
(6) A sworn or affirmed statement that the
				  applicant has developed and implemented internal safeguards and policies to
				  prevent a violation of section 1513 of the act (relating to political
				  influence) and a copy the safeguards and policies.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 427a - MANUFACTURERS › Section 427a.3 - Manufacturer license term and renewal

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The initial manufacturer license will be
				  valid for 1 year from the date of approval of the license by the Board.
				  Renewals of a manufacturer license will be valid for 3 years from the date of
				  the approval of the renewal of the license by the Board.
(b) A Manufacturer License Renewal
				  Application Form and renewal fee shall be filed at least 2 months prior to the
				  expiration of the current license.
(c) A manufacturer license for which a
				  completed renewal application and fee has been received by the Board will
				  continue in effect for an additional 6 month period or until acted upon by the
				  Board, whichever occurs first.
The provisions of this § 427a.3 amended under
						4
						Pa.C.S. §§
													1103,
						1202(b)(30), 1209(b), 1308,
						1311, 1311.1, 1311.2, 1317(c), 1317.1(c), 1317.2, 1321, 1326, 1406 and
						1518(a)(13).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 427a - MANUFACTURERS › Section 427a.4 - Alternative manufacturer licensing standards

Current through Register Vol. 54, No. 28, July 13, 2024
(a) If an applicant for a manufacturer
				  license holds a similar license in another jurisdiction in the United States,
				  the applicant may submit with its application required under §
										427a.2(a)
				  (relating to manufacturer license applications and standards) a request for the
				  Board to adopt an abbreviated licensing process under section 1319 of the act
				  (relating to alternative manufacturer licensing standards).
(b) The Board may use the abbreviated process
				  if:
(1) The Board determines, after
				  investigation, that the licensing standards in the jurisdiction in which the
				  applicant is licensed are similarly comprehensive, thorough and provide equal,
				  if not greater, safeguards as provided in the act and that granting the request
				  is in the public interest.
(2) The
				  applicant has provided a copy of its most recent application or renewal for the
				  similar license in the other jurisdiction and a copy of the license or the
				  order issued by the other jurisdiction granting the license.
(3) The applicant has no administrative or
				  enforcement actions pending in another jurisdiction or the applicant has
				  adequately disclosed and explained the action to the satisfaction of the
				  Board.
(4) There are no pending or
				  ongoing investigations of the applicant in another jurisdiction which may
				  render the applicant unsuitable or the applicant has adequately disclosed and
				  explained the investigation to the satisfaction of the Board.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 427a - MANUFACTURERS › Section 427a.5 - Responsibilities of a manufacturer

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  A holder of a manufacturer license shall have a continuing duty to:
(1) Comply with the general requirements in
				  Chapters 421a and 423a (relating to general provisions; and applications;
				  statement of conditions; wagering restrictions).
(2) For publicly traded manufacturers,
				  provide notification of all SEC filings or if the manufacturer is publicly
				  traded on a foreign exchange, a copy of all filings submitted to the securities
				  regulator that has jurisdiction over the foreign publicly traded corporation.
				  The notification or copies of the filings shall be submitted to the Bureau of
				  Licensing within 30 days after the date of filing with the SEC or securities
				  regulator that has jurisdiction over the foreign publicly traded
				  corporation.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 427a - MANUFACTURERS › Section 427a.6 - Change of control of a manufacturer licensee

Current through Register Vol. 54, No. 28, July 13, 2024
(a) For purposes of this section, a change of
				  control of a manufacturer licensee will be deemed to have occurred when a
				  person or group of persons acquires:
(1) More
				  than 20% of a manufacturer licensee's securities, assets or other ownership
				  interests.
(2) More than 20% of the
				  securities or other ownership interests of a corporation or other form of
				  business entity that owns directly or indirectly at least 20% of the voting or
				  other securities or other ownership interests of the manufacturer
				  licensee.
(3) Any other interest in
				  a manufacturer licensee which allows the acquirer to control the manufacturer
				  licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.1 - Manufacturer designee general requirements

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A manufacturer designee seeking to supply
				  or repair slot machines, table game devices and associated equipment for use in
				  this Commonwealth shall apply to the Board for a manufacturer designee
				  license.
(b) In accordance with
				  section 1317.1 of the act (relating to
				  manufacturer licenses), an applicant for or the holder of a manufacturer
				  designee license or any of the applicant's or holder's affiliates,
				  intermediaries, subsidiaries or holding companies may not apply for or hold a
				  slot machine license or supplier license.
(c) A licensed manufacturer designee may
				  supply or repair slot machines, table game devices or associated equipment
				  manufactured by a manufacturer with whom the manufacturer designee has an
				  agreement or has executed a contract authorizing the manufacturer designee to
				  do so.
The provisions of this § 429a.1 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.2 - Manufacturer designee license applications and standards

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An applicant for a manufacturer designee
				  license shall submit:
(1) An original and one
				  copy of the Manufacturer Designee Application and Disclosure Information Form
				  unless otherwise directed by the Board.
(2) The nonrefundable application fee posted
				  on the Board's web site.
(3) A
				  diversity plan as set forth in section 1325(b) of the act (relating to license
				  or permit issuance) and Chapter 481a (relating to diversity).
(4) An application from every key employee
				  under §
											435a.2 (relating to key employee
				  license) and principal under Chapter 433a (relating to principal licenses) as
				  specified by the Manufacturer Designee Application and Disclosure Information
				  Form.
(5) An affirmation that
				  neither the applicant nor any of its affiliates, intermediaries, subsidiaries
				  or holding companies is an applicant for or a holder of a slot machine or
				  supplier license.
(6) A sworn or
				  affirmed statement that the applicant has developed and implemented internal
				  safeguards and policies to prevent a violation of section 1513 of the act
				  (relating to political influence) and a copy of the safeguards and
				  policies.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.3 - Additional manufacturer designee licenses

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A licensed manufacturer designee whose
				  license is in good standing may submit for an additional manufacturer
				  designation for a different licensed manufacturer by submitting:
(1) An original and one copy of the
				  Additional Manufacturer Designee Application and Disclosure Information Form
				  unless otherwise directed by the Board.
(2) The nonrefundable designation fee posted
				  on the Board's web site.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.4 - Manufacturer designee license term and renewal

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The initial manufacturer designee license
				  will be valid for 1 year from the date of approval of the license by the Board.
				  Renewals of a manufacturer designee license will be valid for 3 years from the
				  date of the approval of the renewal of the license by the Board.
(b) A renewal application and renewal fee
				  shall be filed at least 2 months prior to the expiration of the current
				  license.
(c) A manufacturer
				  designee license for which a completed renewal application and fee has been
				  received by the Board will continue in effect for an additional 6-month period
				  or until acted upon by the Board, whichever occurs first.
The provisions of this § 429a.4 amended under
						4
						Pa.C.S. §§
													1103,
						1202(b)(9)-(23) and (30),
						1205, 1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213,
						1317(c), 1317.1(c), 1317.2, 1326, 13A11, 13A12-13A14, 13A15 and 1802 and
						Chapter 13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.5 - Responsibilities of a manufacturer designee

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A holder of a manufacturer designee
				  license shall have a continuing duty to:
(1)
				  Comply with the general requirements in Chapters 421a and 423a (relating to
				  general provisions; and applications; statement of conditions; wagering
				  restrictions).
(2) For publicly
				  traded manufacturer designees, provide notification of all SEC filings or if
				  the manufacturer designee is publicly traded on a foreign exchange, a copy of
				  all filings submitted to the securities regulator that has jurisdiction over
				  the foreign publicly traded corporation. The notification or copies of the
				  filings shall be submitted to the Bureau of Licensing within 30 days after the
				  date of filing with the SEC or securities regulator that has jurisdiction over
				  the foreign publicly traded corporation.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.6 - Manufacturer designee as agent

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Notwithstanding any provision to the contrary in a contract between a licensed
				  manufacturer and a licensed manufacturer designee, the licensed manufacturer
				  designee shall be an agent of the licensed manufacturer for the purposes of
				  imposing liability for any act or omission of the licensed manufacturer
				  designee in violation of the act or this part.
(b) Notwithstanding any provision to the
				  contrary in a contract between a licensed manufacturer and a licensed
				  manufacturer designee, the licensed manufacturer may be jointly and severally
				  liable for any act or omission by the licensed manufacturer designee in
				  violation of the act or this part, regardless of actual knowledge by the
				  licensed manufacturer of the act or omission.
The provisions of this § 429a.6 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.7 - Manufacturer designee agreements

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Agreements, and any amendments thereto, between a licensed manufacturer and a
				  licensed manufacturer designee shall be submitted to the Bureau of Licensing
				  for review.
(b) Amendments to
				  agreements between a licensed manufacturer and a licensed manufacturer designee
				  shall be submitted to the Bureau of Licensing for review at least 30 days prior
				  to the effective date of the proposed amendment.
(c) An agreement between a licensed
				  manufacturer and a licensed manufacturer designee submitted for Bureau of
				  Licensing review must enumerate with specificity the responsibilities of the
				  licensed manufacturer and the licensed manufacturer designee.
(d) Agreements must contain a provision that
				  describes with particularity any terms related to compensation of the licensed
				  manufacturer or the licensed manufacturer designee.
The provisions of this § 429a.7 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 429a - MANUFACTURER DESIGNEES › Section 429a.8 - Change of control of a manufacturer designee licensee

Current through Register Vol. 54, No. 28, July 13, 2024
(a) For purposes of this section, a change of
				  control of a manufacturer designee licensee will be deemed to have occurred
				  when a person or group of persons acquires:
(1) More than 20% of a manufacturer designee
				  licensee's securities, assets or other ownership interests.
(2) More than 20% of the securities or other
				  ownership interests of a corporation or other form of business entity that owns
				  directly or indirectly at least 20% of the voting or other securities or other
				  ownership interests of the manufacturer designee licensee.
(3) Any other interest in a manufacturer
				  designee licensee which allows the acquirer to control the manufacturer
				  designee licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 431a - SUPPLIER LICENSES › Section 431a.1 - Supplier general requirements

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  A supplier seeking to sell, lease, offer or otherwise provide, distribute or
				  service slot machines, table game devices or associated equipment to a slot
				  machine licensee within this Commonwealth shall apply to the Board for a
				  supplier license.
(b) In accordance
				  with sections 1317 and 1317.1 of the act (relating to supplier licenses; and
				  manufacturer licenses), an applicant for or the holder of a supplier license or
				  any of the applicant's or holder's affiliates, intermediaries, subsidiaries or
				  holding companies, may not apply for or hold a slot machine license or a
				  manufacturer license.
The provisions of this § 431a.1 amended under
						4
						Pa.C.S. §§
													1202(b)(9)-(23), 1205,
						1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213, 13A11,
						13A12-13A14, 13A15 and 1802 and Chapter
						13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 431a - SUPPLIER LICENSES › Section 431a.2 - Supplier license applications and standards

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An applicant for a supplier license shall
				  submit:
(1) An original and one copy of the
				  Supplier Application and Disclosure Information Form for the applicant and each
				  of the applicant's principal affiliates.
(2) The nonrefundable application fee posted
				  on the Board's web site.
(3) A
				  diversity plan as set forth in section 1325(b) of the act (relating to license
				  or permit issuance) and Chapter 481a (relating to diversity).
(4) An application from every key employee
				  under §
											435a.2 (relating to key employee
				  license) and principal under Chapter 433a (relating to principal licenses) as
				  specified by the Supplier Application and Disclosure Information Form and other
				  persons as determined by the Board
(5) An affirmation that neither the applicant
				  nor any of its affiliates, subsidiaries, intermediaries and holding companies
				  is an applicant for or holder of a slot machine license.
(6) A sworn or affirmed statement that the
				  applicant has developed and implemented internal safeguards and policies to
				  prevent a violation of section 1513 of the act (relating to political
				  influence) and a copy the safeguards and policies.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 431a - SUPPLIER LICENSES › Section 431a.3 - Supplier license term and renewal

Current through Register Vol. 54, No. 28, July 13, 2024
(a) The initial supplier license will be
				  valid for 1 year from the date of approval of the license by the Board.
				  Renewals of a supplier license will be valid for 3 years from the date of the
				  approval of the renewal of the license by the Board.
(b) A Supplier License Renewal Application
				  Form and renewal fee shall be filed at least 2 months prior to the expiration
				  of the current license.
(c) A
				  supplier license for which a completed renewal application and fee has been
				  received by the Board will continue in effect for an additional 6-month period
				  or until acted upon by the Board, whichever occurs first.
The provisions of this § 431a.3 amended under
						4
						Pa.C.S. §§
													1103,
						1202(b)(9)-(23) and (30),
						1205, 1206(f) and (g), 1207(1) and (2), 1208(1)(iii), 1209(b), 1212, 1213,
						1317(c), 1317.1(c), 1317.2, 1326, 13A11, 13A12-13A14, 13A15 and 1802 and
						Chapter 13.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 431a - SUPPLIER LICENSES › Section 431a.4 - Responsibilities of a supplier

Current through Register Vol. 54, No. 28, July 13, 2024
(a)
				  Within 1 year of the Board's issuance of a supplier license, the supplier shall
				  establish and maintain a principal place of business in this Commonwealth. The
				  principal place of business must be:
(1) Owned
				  or leased by the supplier. If leased, the term of the lease must be at least as
				  long as the term of the supplier's license.
(2) Where the supplier maintains all
				  agreements, contracts and records, or copies thereof, pertaining to the
				  supplier's business conducted in this Commonwealth.
(3) Large enough to accommodate all of the
				  materials required under paragraph (2), the employees assigned to this office
				  and the equipment required to carry out the employees' assigned
				  duties.
(4) Equipped with a
				  telephone.
(5) Staffed by at least
				  one person during normal business hours.
(6) Open for inspection by Board personnel
				  during normal business hours.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 431a - SUPPLIER LICENSES › Section 431a.5 - Supplier log books

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A supplier
				  licensee shall maintain a log book to register the individuals who enter the
				  supplier licensee's principal place of business and each physical facility
				  utilized by the supplier licensee to house inventory, replacement parts,
				  supplies, transportation or delivery equipment.
(b) The supplier licensee shall record or
				  cause to be recorded in the log book the following:
(1) The date, entrance time and departure
				  time of each individual.
(2) The
				  name of each individual entering the place of business or physical facility and
				  who they represent.
(3) The
				  signature of each individual.
(4)
				  The purpose for the visit.
(5) For
				  individuals who are not employees of the supplier, the individual's Board
				  license, permit, certification or registration number, if applicable.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 431a - SUPPLIER LICENSES › Section 431a.6 - Change of control of a supplier licensee

Current through Register Vol. 54, No. 28, July 13, 2024
(a) For purposes of this section, a change of
				  control of a supplier licensee will be deemed to have occurred when a person or
				  group of persons acquires:
(1) More than 20%
				  of a supplier licensee's securities, assets or other ownership
				  interests.
(2) More than 20% of the
				  securities or other ownership interests of a corporation or other form of
				  business entity that owns directly or indirectly at least 20% of the voting or
				  other securities or other ownership interests of the supplier
				  licensee.
(3) Any other interest in
				  a supplier licensee which allows the acquirer to control the supplier
				  licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.2 - Officers and directors of licensees

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Each officer and director of a licensee
				  shall be licensed as a principal.
(b) Each officer and director of a principal
				  affiliate shall be licensed as a principal.
(c) Each officer and director of a subsidiary
				  of a slot machine licensee shall be licensed as a principal.
(d) Notwithstanding subsection (a) or (b), an
				  outside director of a publicly traded corporation, who is neither a member of
				  the audit committee nor chairperson of the board of directors of the publicly
				  traded corporation shall not be required to be licensed as a principal unless
				  the Board determines that the licensure of the individual is necessary to
				  protect the integrity of gaming in this Commonwealth.
(e) Except as provided in subsection (f), an
				  officer or director required to be licensed under this section shall submit a
				  completed Multi-Jurisdictional Personal History Disclosure Form and the
				  Pennsylvania Supplement to the Multi-Jurisdictional Personal History Disclosure
				  Form within 30 days of performing any duties or exercising any powers as an
				  officer or director unless the officer or director files a written request for
				  an extension with the Bureau of Licensing and the extension is granted prior to
				  the expiration of the 30-day filing deadline.
(f) An officer or director of a privately
				  held slot machine licensee, privately held licensed management company or
				  privately held principal affiliate of a slot machine licensee or licensed
				  management company may not perform any duties or exercise any powers of an
				  officer or director prior to being granted temporary authorization from the
				  Bureau of Licensing. The Bureau of Licensing may grant temporary authorization
				  to a new officer or director of a privately held entity if the individual has
				  submitted a completed Multi-Jurisdictional Personal History Disclosure Form, a
				  completed Pennsylvania Supplement to the Multi-Jurisdictional Personal History
				  Disclosure Form, and fingerprints in a manner prescribed by the Bureau of
				  Investigation and Enforcement.
The provisions of this § 433a.2 amended under
						4
						Pa.C.S. §§
													1202(b)(9), (23) and
						(30),
						1311.1 and
						1326.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.3 - Interests in licensees held by individuals

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An individual shall apply for and obtain
				  a principal license from the Board prior to possessing any of the following:
(1) A direct ownership interest in a slot
				  machine or management company licensee.
(2) A 1% or greater indirect ownership
				  interest in a slot machine or management company licensee. An ownership
				  interest that is held indirectly by an individual through one or more
				  intervening entities will be determined by successive multiplication of the
				  ownership percentages for each link in the vertical chain.
(3) A right to receive a payment from a slot
				  machine or management company licensee based or contingent upon a licensee's
				  earnings, profits or receipts from the slot machines, table games and
				  associated equipment for use or play in this Commonwealth.
(4) A right or ability to control or
				  influence the management or policies of a slot machine or management company
				  licensee.
(5) A general partnership
				  interest in a limited partnership that is a slot machine or management company
				  licensee.
(6) A general partnership
				  interest in a limited partnership that is a principal affiliate of a slot
				  machine or management company licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.4 - Interests in licensees held by entities

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An entity shall apply for and obtain a
				  principal license prior to possessing any of the following:
(1) A direct ownership interest in a slot
				  machine or management company licensee.
(2) A 1% or greater indirect ownership
				  interest in a slot machine or management company licensee. An ownership
				  interest that is held indirectly by an entity through one or more intervening
				  entities will be determined by successive multiplication of the ownership
				  percentages for each link in the vertical chain.
(3) A right to receive a payment from a slot
				  machine or management company licensee based or contingent upon the earnings,
				  profits or receipts from the slot machines, table games and associated
				  equipment for use or play in this Commonwealth.
(4) A right or ability to control or
				  influence the management or policies of a slot machine or management company
				  licensee.
(5) A general partnership
				  interest in a limited partnership that is a slot machine or management company
				  licensee.
(6) A general partnership
				  interest in a limited partnership that is a principal affiliate of a slot
				  machine or management company licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.5 - Institutional investors

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  institutional investor may file an Institutional Investor Notice of Ownership
				  Form and Passive Investor Affirmation with the Bureau of Licensing instead of
				  applying for principal licensure required under this chapter, if:
(1) The institutional investor owns or
				  beneficially owns more than 5% but less than 20% of the outstanding voting
				  securities of a publicly traded corporation that is a principal affiliate of a
				  manufacturer, manufacturer designee, supplier licensee or applicant and has
				  filed and remains eligible to file a statement of beneficial ownership on
				  Schedule 13G with the SEC as a result of the institutional investor's ownership
				  interest in the publicly traded corporation.
(2) The institutional investor owns or
				  beneficially owns more than 5% but less than 10% of the outstanding voting
				  securities of a publicly traded corporation that is a principal affiliate of a
				  slot machine or management company licensee and has filed and remains eligible
				  to file a statement of beneficial ownership on Schedule 13G with the SEC as a
				  result of the institutional investor's ownership interest in the publicly
				  traded corporation. In addition to filing an Institutional Investor Notice of
				  Ownership Form and Passive Affirmation, if an institutional investor seeks to
				  own 10% or more but less than 20% of the outstanding voting securities of a
				  publicly traded corporation that is a principal affiliate of a slot machine or
				  management company licensee:
(i) The
				  institutional investor seeking to acquire the interest shall promptly provide
				  information requested by the Bureau relating to the institutional investor, its
				  operations and sources of funds. The information provided to the Bureau will be
				  deemed confidential when submitted.
(ii) Within 5 days of receipt of all
				  requested information, the Bureau will issue a written response relating to the
				  proposed acquisition. If the Bureau does not cite an objection, the transaction
				  may thereafter be consummated. If the Bureau objects to the acquisition, the
				  institutional investor shall file a petition with the Board in accordance with
				  §
												493a.4 (relating to petitions
				  generally) for approval prior to acquiring the
				  interest.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.6 - Lenders and underwriters

Current through Register Vol. 54, No. 28, July 13, 2024
(a) Each
				  lender and underwriter of a slot machine, management company, manufacturer,
				  manufacturer designee or supplier licensee shall be licensed as a
				  principal.
(b) Notwithstanding
				  subsection (a), a lender that is a bank or lending institution which makes a
				  loan to a slot machine, management company, manufacturer, manufacturer designee
				  or supplier licensee in the ordinary course of business will not be required to
				  be licensed as a principal. The Board may require a bank or lending institution
				  to provide information or other assurances to verify its eligibility for this
				  exemption.
(c) A lender to a
				  principal affiliate of a slot machine licensee or to a management company that
				  is obtaining financing for the construction or operation of a slot machine
				  licensee shall be required to be licensed as a principal unless the following
				  apply:
(1) The lender is in the business of
				  providing debt or equity capital to individuals or entities.
(2) The loan to the principal affiliate or
				  management company of a slot machine licensee is in the ordinary course of the
				  lender's business.
(3) The lender
				  does not have the ability to control or otherwise influence the affairs of the
				  principal affiliate or management company of a slot machine licensee or the
				  slot machine licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.7 - Trusts

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A trust or
				  similar business entity shall apply for and obtain a principal license prior to
				  possessing any of the following:
(1) A direct
				  ownership interest in a slot machine or management company licensee.
(2) A 1% or greater indirect ownership
				  interest in a slot machine or management company licensee. An ownership
				  interest that is held indirectly by an individual through one or more
				  intervening entities will be determined by successive multiplication of the
				  ownership percentages for each link in the vertical chain.
(3) A right to receive a payment from a slot
				  machine licensee based or contingent upon a licensee's earnings, profits or
				  receipts from the slot machines, table games and associated equipment for use
				  or play in this Commonwealth.
(4) A
				  right or ability to control or influence the management or policies of a slot
				  machine or management company licensee.
(5) A general partnership interest in a
				  limited partnership that is a slot machine or management company
				  licensee.
(6) A general partnership
				  interest in a limited partnership that is a principal affiliate of a slot
				  machine or management company licensee.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.8 - Principal applications

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  individual required to be licensed as a principal, unless otherwise directed by
				  the Board, shall file:
(1) An original and one
				  copy of a completed Multi-Jurisdictional Personal History Disclosure
				  Form.
(2) An original and one copy
				  of a completed Principal/Key Employee Form-Pennsylvania Supplement to the
				  Multi-Jurisdictional Personal History Disclosure Form.
(3) The nonrefundable application fee posted
				  on the Board's web site.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 433a - PRINCIPAL LICENSES › Section 433a.9 - Principal license term and renewal

Current through Register Vol. 54, No. 28, July 13, 2024
(a) A principal license or renewal will be
				  valid for 3 years from the date on which the license or renewal is approved by
				  the Board.
(b) Notwithstanding
				  subsection (a), a principal of a manufacturer or supplier which is eligible for
				  its initial license shall be subject to an initial annual renewal for each slot
				  machine or table game license held by the manufacturer or supplier. Principal
				  renewals thereafter will be valid for 3 years from the date of the approval of
				  the renewal of the license by the Board.
(c) A renewal application and renewal fee
				  shall be filed at least 2 months prior to the expiration of the current
				  license.
(d) A principal license
				  for which a completed renewal application and fee has been received by the
				  Board will continue in effect until the Board sends written notification to the
				  holder of the principal license that the Board has approved or denied the
				  license.
The provisions of this § 433a.9 amended under
						4
						Pa.C.S. §§
													1202(b)(9), (23) and
						(30),
						1308,
						1311,
						1311.1,
						1311.2,
						1317.2,
						1321,
						1326,
						1406 and
						1518(a)(13).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 435a - KEY, GAMING AND NONGAMING EMPLOYEES; BOARD-ISSUED CREDENTIALS › Section 435a.1 - General provisions

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  individual seeking a key employee license, occupation permit or nongaming
				  employee registration shall apply to the Board as required by this
				  chapter.
(b) In addition to the
				  materials required under §§
										435a.2,
				  435a.3 and
				  435a.5 (relating to key employee
				  license; occupation permit; and nongaming employee registration), an applicant
				  shall comply with the general application requirements in Chapters 421a and
				  423a (relating to general provisions; and applications; statement of
				  conditions; wagering restrictions).
(c) The holder of a key employee license,
				  occupation permit or nongaming employee registration shall provide an updated
				  photograph at the request of Board staff.
(d) An applicant for an occupation permit or
				  nongaming employee registration shall be at least 18 years of age.
(e) Slot machine licensees, manufacturers,
				  manufacturer designees, suppliers, gaming service providers and gaming related
				  gaming service providers that hire an individual who holds a key employee
				  license, permit or registration issued by the Board shall contact the Bureau of
				  Licensing to confirm that the individual's key employee license, permit or
				  registration is in good standing prior to allowing the individual to work in
				  the licensed facility.
The provisions of this § 435a.1 amended under
						4
						Pa.C.S. §§
													1103,
						1202(b)(9)-(23) and (30),
						1205, 1206(f) and (g), 1207(1)-(3), (5) and (7), 1208(1)(iii), 1209(b), 1212,
						1213, 1308, 1311, 1311.1, 1311.2, 1317(c), 1317.1(c), 1317.2, 1318, 1321, 1322,
						1326, 1331, 13A11, 13A12-13A14, 13A15, 1406, 1518(a)(13), 1603 and 1802 and
						Chapter 13.
This section cited in 58 Pa. Code §
												423a.3 (relating to application
						processing); and 58 Pa. Code §
												439a.12 (relating to gaming junket
						enterprise and representative
						prohibitions).
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 435a - KEY, GAMING AND NONGAMING EMPLOYEES; BOARD-ISSUED CREDENTIALS › Section 435a.2 - Key employee license

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  individual may not perform duties associated with a position that requires a
				  key employee license prior to receiving a temporary or permanent credential
				  unless otherwise authorized by the Board. An applicant for a key employee
				  license shall submit:
(1) An original and one
				  copy of a completed Multi-Jurisdictional Personal History Disclosure
				  Form.
(2) An original and one copy
				  of a completed Principal/Key Employee Form-Pennsylvania Supplement to the
				  Multi-Jurisdictional Personal History Disclosure Form.
(3) The nonrefundable application fee posted
				  on the Board's web site.
Pennsylvania Code › Title 58 - RECREATION › Part VII - GAMING CONTROL BOARD › Subpart B - Licensing, Permitting, Certification and Registration › Chapter 435a - KEY, GAMING AND NONGAMING EMPLOYEES; BOARD-ISSUED CREDENTIALS › Section 435a.3 - Occupation permit

Current through Register Vol. 54, No. 28, July 13, 2024
(a) An
				  applicant for a gaming employee occupation permit shall submit:
(1) An original and one copy of the Gaming
				  Employee Application and Disclosure Information Form or an electronic
				  application using the SLOTS Link system. When an application for an occupation
				  permit is filed using SLOTS Link, any additional documents required, including
				  releases, shall be submitted to the Board:
(i)
				  Within 5 days of the submission of the SLOTS Link application by an applicant
				  for or holder of a slot machine license.
(ii) Within 10 days of the submission of the
				  SLOTS Link application by an applicant for or holder of a manufacturer,
				  manufacturer designee, or supplier license or a gaming related gaming service
				  provider certification or gaming service provider registration, certification
				  or authorization.