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CODE OF STATE REGULATIONS 1ROBIN CARNAHAN (2/28/10)Secretary of State

Rules of

Department of Public SafetyDivision 45—Missouri Gaming Commission

Chapter 4—LicensesTitle Page

11 CSR 45-4.010 Types of Licenses...............................................................................3

11 CSR 45-4.020 Licenses, Restrictions on Licenses, Licensing Authority of theExecutive Director and Other Definitions .................................................3

11 CSR 45-4.025 Incorporation of Application Information by Reference(Rescinded October 30, 1998)...............................................................5

11 CSR 45-4.030 Application for Class A or Class B License ...............................................5

11 CSR 45-4.040 City or County Input .........................................................................10

11 CSR 45-4.050 Application Period and Fees for Class A License .......................................11

11 CSR 45-4.055 Application Period and Fees for Class A and Class B Licenses ......................11

11 CSR 45-4.060 Priority of Applications ......................................................................11

11 CSR 45-4.070 Competitiveness Standards ..................................................................12

11 CSR 45-4.080 License Criteria ...............................................................................12

11 CSR 45-4.085 Expiration of Temporary License ..........................................................12

11 CSR 45-4.190 License Renewal...............................................................................12

11 CSR 45-4.200 Supplier’s License.............................................................................13

11 CSR 45-4.205 Affiliate Supplier’s License .................................................................15

11 CSR 45-4.210 Temporary Supplier’s License ..............................................................16

11 CSR 45-4.230 Supplier’s License Criteria ..................................................................17

11 CSR 45-4.240 Supplier’s License Application and Annual Fees........................................20

11 CSR 45-4.250 Supplier’s License Renewal .................................................................20

11 CSR 45-4.260 Occupational Licenses for Class A, Class B, Suppliers and Affiliate Suppliers............................................................................20

11 CSR 45-4.380 Occupational and Key Person/Key Person Business EntityLicense Application and Annual Fees ....................................................21

2 CODE OF STATE REGULATIONS (2/28/10) ROBIN CARNAHAN

Secretary of State

11 CSR 45-4.390 Occupational License Renewal..............................................................22

11 CSR 45-4.400 Occupational Licensure Levels .............................................................22

11 CSR 45-4.410 Identification Badge Requirements .........................................................23

11 CSR 45-4.420 Occupational License.........................................................................23

11 CSR 45-4.430 Waiver of Requirements......................................................................24

11 CSR 45-4.440 Possession of Gaming Equipment by Applicants ........................................24

11 CSR 45-4.500 Junket, Junket Enterprises, Junket Representatives—Definitions .....................24

11 CSR 45-4.510 Junket Enterprise; Junket Representative—Licensing Requirements .................25

11 CSR 45-4.520 Junket Arrangements—Criteria by Which Patrons Selected Determinantof Junket .......................................................................................25

11 CSR 45-4.530 Junket Enterprise; Junket Representative; Agents; Employees—Policies andProhibited Activities .........................................................................26

11 CSR 45-4.540 Junket—Agreements, Schedules, and Final Reports.....................................26

Title 11—DEPARTMENT OF PUBLIC SAFETY

Division 45—Missouri Gaming Commission

Chapter 4—Licenses

11 CSR 45-4.010 Types of Licenses

PURPOSE: This rule establishes the types oflicenses.

(1) The types of licenses shall include: (A) Class A;(B) Class B;(C) Key person/key person business entity;(D) Occupational:

1. Level I;2. Level II; and

(E) Supplier, temporary supplier and affil-iate supplier.

(2) The commission may classify an activityto be licensed in addition to, different from,or at a different level than the types set forthin section (1) of this rule. The commissionshall investigate all levels of license applica-tions.

AUTHORITY: sections 313.004 and 313.807,RSMo 2000.* 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, effec-tive Jan. 31, 1994. Amended: Filed May 13,1998, effective Oct. 30, 1998. Amended:Filed Dec. 3, 2007, effective May 30, 2008.

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

11 CSR 45-4.020 Licenses, Restrictions onLicenses, Licensing Authority of theExecutive Director and Other Definitions

PURPOSE: This rule defines and describestypes of licenses, restrictions on licenses,licensing authority of the executive directorand other definitions.

(1) A Class A license shall be a license grant-ed by the commission to allow the parentorganization(s) or controlling entity, as deter-mined by the executive director, to developand operate Class B licensee(s). A Class Alicensee may, if authorized by the commis-sion, operate more than one Class B licensee.Class A and Class B licensees may not belicensed as suppliers.

(2) A Class B license shall be a license grant-ed by the commission to maintain, conduct

gambling games on, and operate an excursiongambling boat and gaming facility at a spe-cific location.

(3) A key person/key person business entitylicense shall include:

(A) An officer, director, trustee, propri -etor, managing agent, or general manager ofan applicant or licensee or of a business enti -ty key person of an applicant or licensee;

(B) A holder of any direct or indirect legalor beneficial publicly traded interest whosecombined direct, indirect or attributed pub-licly traded interest is five percent (5%) ormore in an applicant or licensee or in a busi-ness entity key person of an applicant orlicensee except a holder of more than fivepercent (5%) but not more than ten percent(10%) interest who holds such interest onlyfor passive (“Not involving active participa-tion; esp., of or relating to a business enter-prise in which an investor does not haveimmediate control over the activity that pro-duces income.” Black’s Law DictionarySeventh Edition) investment purposes(including economic purposes) may beexempted from licensure by the executivedirector; such exemption may be requested atthe time of investment or institutionalinvestors may seek general pre-approval aftercertification that such investment will be pas-sive in nature and for passive investmentsonly. The commission may waive licensurefor up to twenty percent (20%). If exemptedfrom licensure by the executive director up toten percent (10%), and up to twenty percent(20%) if exempted by the commission, pro-vided that:

1. The holder of such interest applies inwriting in advance of acquiring said interestor within ten (10) days thereafter and certifiesunder oath that it is—

A. Acquiring the interest for passiveinvestment purposes;

B. Does not nor will it have anyinvolvement in the management activities ofthe entity;

C. Nor does it have any intention ofcontrolling the entity regardless of additionalstock that may be acquired;

D. That they will within ten (10) daysnotify the commission of any sale or purchaseof stock in the entity equaling more than onepercent (1%) of the entity’s outstandingstock;

E. In the event the holder of any inter-est under this exemption subsequently devel-ops an intention of controlling or participat-ing in the management of said entity, theyshall notify the commission of said changeand refrain from participating in management

or exercising such control until approved forlicensure by the commission;

F. If the applicant is an individual,then the home and business addresses, occu-pation, employer and title shall be identified;

G. If applicant is a business entity,then they shall provide the type of entity (cor-poration, partnership, limited partnership,LLC, LLP, etc.), state of charter, the namesand both home and business address of the—

(I) Chief executive officer (CEO);(II) Chief financial officer (CFO);(III) Chief operating officer

(COO);(IV) Managing partner(s);(V) General partner(s);(VI) Members of the Board of

Directors; and(VII) The registered agent; and

H. Additionally the director maygrant exemptions to institutional investors tohold such interests in multiple licensees inadvance;

2. The commission by majority votemay grant exemptions of up to twenty percent(20%) with the filing of the informationrequired in (3)(B)1. above. Additionally thecommission may grant exemptions to institu-tional investors to hold such interests in mul-tiple licensees in advance;

3. The executive director shall keep arecord of all such exemptions granted and thepositions held by each entity and shall presenta written report on the same to the commis-sion on a monthly basis;

4. The exemption shall be for two (2)years unless renewed; and

5. Nothing in this section including thegranting of an exemption shall prohibit thecommission, at a future date, in its sole dis-cretion, with or without cause from requiringany owner of any interest in a licensee frombecoming licensed by the commission or todivest itself of stock ownership;

(C) A holder of any direct or indirect legalor beneficial privately held interest whosecombined direct, indirect or attributed pri-vately held interest is one percent (1%) ormore in an applicant or licensee or in a busi-ness entity key person of an applicant orlicensee except a holder of more than onepercent (1%) but not more than ten percent(10%) interest who is an institutional investorand who holds such interest only for passive(“Not involving active participation; esp., ofor relating to a business enterprise in whichan investor does not have immediate controlover the activity that produces income.”Black’s Law Dictionary Seventh Edition)investment purposes (including economicpurposes) may be exempted from licensure bythe executive director; such exemption may


Chapter 4—Licenses 11 CSR 45-4

be requested at the time of investment orinstitutional investors may seek general pre-approval after certification that such invest-ments will be passive in nature and for pas-sive investments only. The commission maywaive licensure for up to twenty percent(20%). If exempted from licensure by theexecutive director up to ten percent (10%),and up to twenty percent (20%) if exemptedby the commission, provided that:

1. The holder of such interest applies inwriting in advance of acquiring said interestor within ten (10) days thereafter and certifiesunder oath that it is—

A. Acquiring the interest for passiveinvestment purposes;

B. Does not nor will it have anyinvolvement in the management activities ofthe entity;

C. Nor does it have any intention ofcontrolling the entity regardless of additionalstock that may be acquired;

D. That they will within ten (10) daysnotify the commission of any sale or purchaseof stock in the entity equaling more than onepercent (1%) of the entity’s outstandingstock;

E. In the event the holder of any inter-est under this exemption subsequently devel-ops an intention of controlling or participat-ing in the management of said entity, theyshall notify the commission of said changeand refrain from participating in managementor exercising such control until approved forlicensure by the commission;

F. If the applicant is an individual,then the home and business addresses, occu-pation, employer and title shall be identified;

G. If applicant is a business entity,then they shall provide the type of entity (cor-poration, partnership, limited partnership,LLC, LLP, etc.), state of charter, the namesand both home and business address of the—

(I) Chief executive officer (CEO);(II) Chief financial officer (CFO);(III) Chief operating officer

(COO);(IV) Managing partner(s);(V) General partner(s);(VI) Members of the Board of

Directors; and(VII) The registered agent; and

H. Additionally the director maygrant exemptions to institutional investors tohold such interests in multiple licensees inadvance;

2. The commission by majority votemay grant exemptions of up to twenty percent(20%) with the filing of the informationrequired in (3)(C)1. above. Additionally thecommission may grant exemptions to institu-

tional investors to hold such interests in mul-tiple licensees in advance;

3. The executive director shall keep arecord of all such exemptions granted and thepositions held by each entity and shall presenta written report on the same to the commis-sion on a monthly basis;

4. The exemption shall be for two (2)years unless renewed; and

5. Nothing in this section including thegranting of an exemption shall prohibit thecommission, at a future date, in its sole dis-cretion, with or without cause from requiringany owner of any interest in a licensee frombecoming licensed by the commission or todivest itself of stock ownership;

(D) A holder of any direct or indirect legalor beneficial interest in an applicant orlicensee or in a business entity key person ofan applicant or licensee if the interest wasrequired to be issued under agreement withor authority of a government entity;

(E) An owner of an excursion gamblingboat; and

(F) Any individual or business entity sodesignated by the commission or the execu-tive director.

(4) Occupational license Level I is a personother than a key person/key person businessentity who has management control or deci-sion-making authority over the gaming oper-ation, a key function of the gaming operation,or the development or oversight of the testingof gaming equipment or systems, includingbut not limited to:

(A) Internal audit manager;(B) Director of casino operations;(C) Table games manager; (D) Director of security;(E) Controller;(F) IT manager;(G) Surveillance manager;(H) Assistant general manager;(I) Slot department manager;(J) Managers responsible for ensuring the

integrity of all testing standards and certifica-tions; or

(K) Any other person directed by the com-mission to file a Level I application.

(5) Occupational license Level II is any per-son not a key or Level I who has access to thegaming floor, or secured areas, as an employ-ee of any Class A, Class B, or Supplierlicensee, and any other person directed by thecommission or the executive director to file aLevel II application.

(6) Secured areas shall include any area orlocation where gaming functions may takeplace, be controlled or affected. Securedareas shall also include any area so designat-ed by the licensee’s Internal Control System

(ICS) or by the commission, including butnot limited to:

(A) Security; (B) Surveillance; (C) Audit;(D) Accounting; (E) Management Information Systems

(MIS);(F) Cage; (G) Ticketing; (H) Hard and soft count; (I) Marine operations; and(J) Any other area designated by the com-

mission; and also (K) Licensees may in their ICS request

authorization for certain Level I licensees,key person licensees and others escorted bysecurity or the area supervisor, to have accessto secured areas other than the surveillancearea.

(7) Supplier license is a license issued to aperson or entity that—

(A) Manufactures, sells or leases gamingequipment, gaming supplies, or both;

(B) Provides gaming equipment mainte-nance or repair;

(C) Provides testing services on gamingrelated equipment, components, peripherals,systems, or other items directed by the com-mission to a Class A or Class B licensee orthe commission; or

(D) Provides junket services, as defined inthis chapter, to Class A or Class B licensees.

(8) Temporary supplier license is a licenseauthorized by the commission until the appro-priate license can be obtained.

(9) Affiliate supplier license is required ofany person who is an affiliate of a Class A orClass B licensee or a key person/key personbusiness entity of a Class A licensee and sellsor leases gambling equipment, gambling sup-plies or both to its Class B licensee affiliate.For purposes of 11 CSR 45-4.205, an “affil-iate” of, or a person “affiliated” with, a spe-cific person is a person that directly or indi-rectly, through one (1) or more intermedi-aries, controls, or is controlled by, or is undercommon control with, the person specified.The term “control” (including the terms“controlling,” “controlled by” and “undercommon control with”) means the posses-sion, direct or indirect, of the power to director cause the direction of the management andpolicies of a person, whether through theownership of voting shares, by contract, orotherwise.

(10) Upon the effective date of this rule, allexisting Class A licenses shall be divided intoa Class A license, which shall be the operat-ing company and one or more Class B


Secretary of State

11 CSR 45-4—DEPARTMENT OF PUBLIC SAFETY Division 45—Missouri Gaming Commission

license(s), which shall be the licensed river-boat gaming operation. Rules adopted priorto the adoption of this rule which previouslyreferred to a Class A licensee shall refer toboth Class A licensee and Class B licenseeunless specifically identified otherwise.

AUTHORITY: sections 313.004 and 313.807,RSMo 2000.* 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, effec-tive Jan. 31, 1994. Amended: Filed June 2,1995, effective Dec. 30, 1995. Amended:Filed Dec. 28, 1995, effective June 30, 1996.Amended: Filed May 13, 1998, effective Oct.30, 1998. Rescinded and readopted: FiledDec. 3, 2007, effective May 30, 2008.Amended: Filed Aug. 3, 2009, effectiveMarch 30, 2010.


11 CSR 45-4.025 Incorporation of Applica-tion Information by Reference (Rescinded October 30, 1998)

AUTHORITY: sections 313.004 and 313.805,RSMo Supp. 1993. Emergency rule filed June14, 1994, effective June 24, 1994, expiredOct. 21, 1994. Original rule filed April 22,1994, effective Sept. 30, 1994. Rescinded:Filed May 13, 1998, effective Oct. 30, 1998.

11 CSR 45-4.030 Application for Class Aor Class B License

PURPOSE: This rule establishes applica-tions.

(1) License application shall be made on aform obtained from the commission. EachClass A or Class B license applicant mustsubmit the Riverboat Gaming ApplicationForm for itself, a key person/key person busi-ness entity and Level I application for eachindividual key person associated with theapplication and a Riverboat GamingApplication Form for each business entitykey person associated with the applicant. Theapplicant must also submit PersonalDisclosure Form II for any other person orentity (other than occupational licensees)associated with the applicant in any way, whois required by the commission or the directorto execute such forms, which forms shallbecome part of the Class A or Class B appli-cation along with the key person/key personbusiness entity forms. A copy of all necessary

forms is available for public inspection at theoffices of the commission and online at thecommission’s web site.

(2) For a Class A or Class B license an appli-cant must disclose on an application formobtained from the commission at a mini-mum—

(A) The applicant’s full name, telephonenumber and the type of organizational struc-ture under which the organization operates,including, without limitation, whether theapplicant is an operating company or a hold-ing company, identification of keypersons/key person business entities, includ-ing identification of chief administrative offi-cers, the background and skills of applicantand key persons;

(B) The business address and telephonenumber of the organization and all formeraddresses within ten (10) years, and alladdresses of subsidiary or parent corpora-tions;

(C) The name, address and telephone num-ber of applicant’s registered agents, legal rep-resentatives, accounting representatives,banking and financial representatives, under-writers and custodian of records in Missouriand elsewhere;

(D) Information on the ability of applicantand key persons/key person business entitiesto conduct gaming operations;

(E) If the applicant is an individual, thelicense application must disclose—

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

2. Whether the applicant is a UnitedStates citizen;

3. Any aliases or business names whichhave ever been or are being used by the appli-cant; and

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

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

1. The applicant’s full corporate nameand any trade names or fictitious names usedby the applicant in this or any other jurisdic-tion;

2. The jurisdiction and date of incorpo-ration;

3. The date the applicant commenceddoing business in Missouri, if any, and if theapplicant is incorporated in any jurisdictionother than Missouri, a copy of the applicant’scertificate or authority to do business inMissouri;

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 annu-

al report, which shall include audited finan-cial statements;

5. To the extent not disclosed in anydocument required to be submitted, the appli-cant’s Federal Employer IdentificationNumber (FEIN), and all tax identificationnumbers including, without limitation: salestax number, employer withholding tax num-ber and corporate income tax number;

6. The location and custodian of theapplicant’s business records;

7. A statement of the general nature ofapplicant’s business;

8. Whether the applicant is publicly heldas defined by the rules of the Securities andExchange Commission;

9. All the classes of stock authorized bythe Articles of Incorporation. As to eachclass, 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 cur-

rently listed on the corporate books; and H. The terms, rights, privileges and

other information each class of stock pos-sesses;

10. If the applicant has any other obli-gations or securities authorized or outstand-ing which bear voting rights either absolutelyor upon any contingency, together with thenature of the obligations. In addition, the fol-lowing 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 direc-tor, the following information shall be includ-ed: the number of shares held of record as ofthe application date—

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

B. Ownership of shares shall includebeneficial owners of the stocks or certificatesor other evidence of ownership in such orga-nization, may become the owner or holder,directly or indirectly, of any such shares ofstocks or certificates or other evidence ofownership;

12. The names, in alphabetical order,



and addresses of the officers of the applicant.The following information shall be includedfor each officer: the number of shares held onrecord as of the application date—

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

B. Ownership of shares shall includebeneficial owners. Beneficial ownershipincludes, but is not limited to, record owner-ship and:

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

(II) Any interest which entitles aperson to benefits substantially equivalent toownership by reason of any contract, under-standing, relationship, agreement or otherarrangement even though the person is not therecord owner. Unless there are special cir-cumstances, securities held by an individual’sspouse or relatives, including children, livingin the home, who are beneficially owned bythe individual;

13. The names, in alphabetical order,and addresses of each record stockholder ofthe corporation. Stockholder shall meanrecord owners or beneficial owners (asdefined in (2)(F)12.B. above) of the stocks orcertificates or other evidence of ownership insuch organization, may become the owner orholder, directly or indirectly, of any suchshares of stocks or certificates or other evi-dence of ownership. The applicant shall alsoinclude a percentage of the voting shares ofstock owned by each record stockholder. Ifthe applicant is publicly held and shares ofstock are held in street name by a nominee,an agent or trust, the applicant shall rendermaximum assistance to the commission,upon its request, to determine the beneficialownership of the shares of stock;

14. Each jurisdiction for which the cor-poration has met filing and disclosurerequirements of state securities registrationand filing laws, the Securities Act of 1933 orthe Securities and Exchange Act of 1934. Theapplicant shall include the most recent regis-tration statement and annual report filed withthe Securities and Exchange Commission andeach state in which the corporation has regis-tered or filed the report.

A. If the applicant has not registeredor filed any statements with the Commissionerof Securities of the Secretary of State ofMissouri, the applicant must state the reasonthe filing has not been made, including spe-cific reference to the exemption or exceptionupon which the applicant relies for not filingwith 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 Secretaryof State of Missouri, copies of all filingsbeginning with the most recent, up to andincluding the first statement filed or for thepast five (5) years, whichever is shorter, shallbe included with the application;

15. The name and address of any previ-ous owners (within five (5) years) of theapplicant, together with the previous owner’sFEIN and all applicable tax numbers; and

16. All documents concerning transferof ownership (within five (5) years), a list ofassets, the purchase price, the date of pur-chase and any agreements for the purchase ofassets by and between the applicant and anyprevious owner or successor;

(G) If the applicant is an organization otherthan a corporation, the following informationmust be disclosed:

1. The applicant’s full name includingany trade names or fictitious names currentlyin use by the applicant in Missouri or anyother jurisdiction;

2. The jurisdiction in which the appli-cant is organized;

3. Copies of any written agreement,constitution or other document creating orgoverning the applicant’s organization, pow-ers of organization;

4. The date the applicant commenceddoing business in Missouri—

A. If the applicant is organized underlaws other than Missouri law, a copy of theauthorization of the state of Missouri to dobusiness in Missouri; and

B. If no authorization to do businessin Missouri has been obtained, the applicantmust state the reason the authorization hasnot been obtained;

5. The applicant’s federal and state taxreturns for the past five (5) years;

6. The general nature of the applicant’sbusiness;

7. The names, in alphabetical order, andaddresses of each partner, officer or otherperson having or sharing policy-makingauthority. As to each such person, the appli-cant must disclose the nature and extent ofany ownership interest.

A. Ownership interest shall includeany beneficial owner. Beneficial ownershipincludes, but is not limited to, record owner-ship and:

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

(II) Any interest which entitles a

person to benefits substantially equivalent toownership by reason of any contract, under-standing, relationship, agreement or otherarrangement even though the person is not therecord owner. Unless there are special cir-cumstances, securities held by an individual’sspouse or relatives, including children, livingin the home, who are beneficially owned bythe individual.

B. Any voting interest, whether abso-lute or contingent, and the terms upon whichthe interest may be voted;

8. The names, in alphabetical order, andaddresses of any individual or other entitywho holds a record or beneficial ownership.Beneficial ownership includes, but is not lim-ited to, record ownership and: 1) Stock orother ownership in one (1) or more entities ina chain of parent and subsidiary or affiliatedentities, any one (1) of which participates inthe capital or profits of a licensee, regardlessof the percentage of ownership involved; or2) Any interest which entitles a person tobenefits substantially equivalent to ownershipby reason of any contract, understanding,relationship, agreement or other arrangementeven though the person is not the recordowner. Unless there are special circum-stances, securities held by an individual’sspouse or relatives, including children, livingin the home, who are beneficially owned bythe individual. The following informationshall be given concerning each individual:

A. The nature of the ownership inter-est;

B. Whether the ownership interestcarries a vote and the terms upon which theinterest may be voted; and

C. The percentage of ownership; (H) Whether the applicant is directly or

indirectly controlled to any extent or in anymanner by another individual or entity. If so,the applicant must disclose the identity of thecontrolling entity and a description of thenature and extent of the control. If the con-trolling entity is not an individual, the infor-mation required by this rule for the corpora-tion, partnership or other organization con-trolling the applicant must be disclosed;

(I) Any agreements or understandingswhich the applicant or any individual or enti-ty identified in this rule has entered intoregarding operation of gambling games. Ifthe agreement or understanding is written, acopy of the agreement must accompany theapplication. If the agreement or understand-ing is oral, the terms shall be reduced to writ-ing and must accompany the application.Should the agreement or understanding becontingent in nature, the applicant shall dis-close the nature of the contingency;


Secretary of State


(J) Any agreements or understandingswhich the applicant has entered into for thepayment of fees, rents, salaries or other com-pensation by the applicant or to the applicant.If the agreements or understandings are writ-ten, copies of the written documents mustaccompany the application. If the agreementor understanding is oral, the terms shall bereduced to writing and must accompany theapplication. Should the agreement or under-standing be contingent in nature, the appli-cant shall disclose the nature of the contin-gency;

(K) Whether applicant or parent company,if applicant is a subsidiary, or any key per-son/key person business entity currentlyholds or has ever held a license or permitissued by a governmental authority to own oroperate a gaming facility or conduct anyaspect of gambling. If the applicant, parentcompany or key person/key person businessentity has held or holds a license or permit,the following must be disclosed:

1. The identity of the license or permitholder;

2. The jurisdiction issuing the license orpermit;

3. The nature of the license or permit;and

4. The dates of issuance and termina-tion, 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 commis-sion, an employee of the commission, amember of the general assembly, or as aMissouri elected official, or if any city orcounty in Missouri in which licensing ofexcursion gambling boats has been approved,has any ownership interest in applicant;

(M) The applicant must disclose namesand titles of all public officials, or officers ofany unit of government, and relatives of thepublic officials or officers who, directly orindirectly, own any financial interest in, haveany beneficial interest in, or the creditors of,or hold any debt instrument issued by, or holdand have any interest in any contractual ser-vice relationship with applicant;

(N) The applicant must disclose all politi-cal contributions, loans, donations or otherpayments of one hundred dollars ($100) ormore, applicant has made directly or indi-rectly to any candidate or officeholder inMissouri, within five (5) years prior to appli-cation; and

(O) The applicant shall provide a detaileditemized summary of all income received andexpenses incurred relating to the preparationof the application for a Class A or Class Blicense. The summary shall include thesource of income and the amount paid, the

recipient and a brief description of goods orservices purchased. The summary shall beupdated by the applicant periodicallythroughout the application process.

(3) If the “applicant” as used in this rule shallinclude the controlling individual or entity, isdirectly or indirectly controlled by anotherindividual or entity, the applicant must dis-close with respect to applicant and all keypersons—

(A) Whether the individual or entity hasbeen charged, convicted, or both, or entereda plea of guilty or nolo contendere, or for-feited bail concerning any charge in anycriminal proceeding, and whether or not asentence was imposed. If any individual orentity has been so charged, convicted, orboth, the applicant must disclose—

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

2. Arresting agency and prosecutingagency;

3. The court; 4. The case number; 5. The offense of which charged or con-

victed; 6. If convicted, whether by plea or find-

ing 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 whichs/he has been alleged to have engaged in anyunfair or anti-competitive business practice, asecurities violation or false or misleadingadvertising. If any individual or entity hasbeen a party to the civil proceeding, theapplicant must provide:

1. The date of commencement of theproceeding;

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 hasever applied for, withdrawn, had a gambling,or other business or professional license orpermit revoked, suspended, restricted, deniedor the renewal of the license denied, or hasbeen a party in any proceeding to do so. Ifany applicant or entity has been involved in aproceeding, 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 hasbeen accused in an administrative or judicialproceeding of the violation of a statute or rulerelating to unfair labor practices, discrimina-tion or gambling. If any individual or entityhas been involved in any proceeding, theapplicant 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 hascommenced an administrative or judicialaction against a government regulator of gam-bling. 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 hasbeen the subject of voluntary or involuntarybankruptcy proceeding or has ever beeninvolved in any formal process to adjust,defer, suspend or otherwise work out pay-ment of any debt. If so, the applicant mustdisclose—

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 hasfailed to satisfy any judgment, decree ororder of any administrative or judicial tri-bunal. 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 requiredor remitting a tax imposed by any governmentor has been served with a complaint or othernotice regarding delinquency or a disputeover filings concerning any payment of tax toany government. If so, the applicant must dis-close—

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 sur-

rounding the delinquent filing or remission;and

(I) Whether any individual suffers from acurrent addiction to a controlled substance. Ifso, the applicant must disclose the circum-stances.



(4) If the applicant is directly or indirectlycontrolled by another individual or entity, thismust be disclosed. “Applicant” as used in thisrule shall include the controlling individualor entity.

(5) If an individual, the applicant must dis-close all businesses in which applicant, appli-cant’s spouse or applicant’s children have anequity interest.

(6) If the applicant is a corporation, partner-ship, other business entity or individual, theapplicant must disclose all other corpora-tions, partnerships or business entities inwhich it has an equity interest including stateof incorporation or registration, if applicable.This information need not be provided by acorporation, partnership or business entitythat has a pending registration statement filedwith the Federal Securities and ExchangeCommission.

(7) An applicant for a Class A or Class Blicense must disclose all financial intereststhat any officer, director or significant share-holder (defined as having an ownership inter-est in the applicant of five percent (5%) ormore) has in any entity involved in gambling.The financial interests shall include all directand indirect interests.

(8) The financial interests of each individualdisclosed under this rule shall be set forthseparately and shall include:

(A) The entity in which the financial inter-est 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 improve-ments and equipment, including:

(A) A complete description of each gam-bling boat including:

1. The extent the boat recreates boatsthat are significant to Missouri’s riverboathistory and if it is a cruising or continuouslydocked 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 configura-

tion of gaming and non-gaming areas; 6. The proposed location and configura-

tion of concessions including food and bever-age service and Missouri theme gift shop;

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

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

9. A description of disabled persons’access; and

(B) A complete description of the dockingarea including: a description of improvementsand proposed use—

1. An address of the facility, its size andgeographical location, including reference tocounty and municipal boundaries;

2. A site map which reflects current andproposed highways and streets adjacent to thefacility;

3. A description of parking, includingall of the following information:

A. A detailed description of access toparking from surrounding streets and high-ways;

B. The number of parking spacesavailable;

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

D. A description of the road surfaceon the parking area;

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

F. A road map of the area showing therelationship of parking to surrounding streetsand highways. The requirements of this partmay be included on the site map required bysubparagraph (1)(B)1.B. of this rule; and

G. A description of security plansincluding attendants, lights, phones andemergency auto service;

4. A description of access of the facilityto public transportation, specifics of the typeof transportation and schedules, road maps ofarea indicating pickup and drop-off points.The requirements of this part may be includ-ed on the site map required in subparagraph(1)(B)1.B. of this rule;

5. A description of the overnight accom-modations for the public including:

A. The number of hotel/motel rooms; B. The number of campgrounds, if

any; and C. The distance from other popula-

tion centers to the facility for all populationcenters from which the applicant expects todraw patrons;

6. A description of the public access tothe community surrounding the proposedfacility including air service, train serviceand highways; and

7. A schedule of excursions or, if appro-priate, a schedule of continuously dockedexcursions.

(10) With regard to the development of itsgambling facility, applicants must disclose—

(A) The total cost of construction of thefacility or any modifications of an existing

facility, distinguishing between fixed costsand projections;

(B) Separate identification of the followingcosts, if applicable, distinguishing betweenfixed 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 anexisting facility including estimated comple-tion date—

1. Provide an estimated time schedulefor construction, including how long afterlicensure will the proposed project be fullyoperational. Show the number of monthsafter the license is granted that each of thefollowing activities will commence and becompleted:

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 comple-tion of construction, provide an itemizedtimetable for the components of the construc-tion 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 firesafety requirements of the state fire marshal.Applicants shall attach a letter from the statefire marshal stating tentative approval;

(E) Schematic drawings; (F) Copies of any contracts with and per-

formance bonds for each of the following: 1. Architect or other design profession-

al; 2. Project engineer; 3. Construction engineer; 4. Contractors and subcontractors; and 5. The equipment procurement person-

nel; and (G) Evidence of acquisition or lease of the

site by applicant. If the site is not ownedor currently leased by the applicant, the


Secretary of State


applicant must disclose the plans for theacquisition or lease or other use of the site.

(11) If the “applicant” as used in this ruleshall include the controlling individual orentity, is directly or indirectly controlled byanother individual or entity, an applicant fora Class A or Class B license must disclosethe following with regard to financialresources:

(A) Most recent audited financial state-ments prepared in accordance with generallyaccepted accounting principles; and

(B) Equity and debt sources of funds todevelop and operate each riverboat gamblingoperation for which the license is requested:

1. For each source of equity contribu-tion, the following information must beincluded:

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 commit-

ments; and G. Documentation; and

3. If the applicant anticipates obtainingfurther equity or debt contributions, theapplicant must disclose the plans for obtain-ing commitments;

(C) Identification and description ofsources of additional funds, if needed, due tocost overruns, nonreceipt of expected equityor debt funds, failure to achieve projectedrevenues or other cause; and

(D) An applicant for a Class A or Class Blicense must disclose the following withregard to bank accounts:

1. The name and address of all bankinginstitutions or depositories holding funds ofthe applicant;

2. Corresponding account numbers foreach account;

3. The name and address of the respon-sible bank officer; and

4. All authorized signatures for thedeposit and withdrawal of funds.

(12) The applicant for a Class A or Class Blicense must disclose its financial projectionsfor the developmental period and for the firsttwo (2) years of the conducting of excursions,

including all related assumptions and antici-pated impact of competition from other river-boats licensed in Missouri and other neigh-boring states.

(13) The applicant for a Class A or Class Blicense must disclose any lease with a homedock city or county.

(14) The applicant for a Class A or Class Blicense must disclose any resolution adoptedby the city or county where operations will belocated, supporting the docking and land-based economic development or impact planof the applicant.

(15) An applicant for a Class A or Class Blicense must disclose with regard to govern-mental agencies—

(A) The street and highway improvementsnecessary to insure adequate access to appli-cant’s facility and the cost of improvements,status, likelihood of completion and estimat-ed date;

(B) The sewer, water and other public util-ity improvements necessary to serve appli-cant’s facility and the cost of improvements,status, likelihood of completion and estimat-ed date;

(C) If the applicant has obtained or mustobtain any required governmental improve-ments for its development, ownership oroperation 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 ofthe hearings. If hearings were not held, theapplicant must explain the reason; and

C. Whether the unit of governmentconditioned its approval and, if so, the condi-tions imposed, including documentation; and

2. As to any approvals from governmen-tal 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 assessmentof the facility has been or will be prepared—

1. If so, the applicant must disclose itsstatus and the governmental unit with juris-diction; and

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

(E) Whether an environmental impactstatement is required for applicant’s facility—

1. If so, the applicant must disclose itsstatus and the governmental unit with juris-diction; and

2. The applicant must provide the com-mission with a copy of any statement; and

(F) Whether the applicant is in compliancewith all statutes, charter provisions, ordi-nances and regulations pertaining to thedevelopment, ownership and operation of itsfacility. If the applicant is not in compliance,the following information must be disclosed:

1. The reasons why the applicant is notin compliance; and

2. The plans for compliance or exemp-tion from any such requirements.

(16) An applicant for a Class A or Class Blicense must disclose each of the followingfor the development and ownership of theproposed facility:

(A) A description of the applicant’s man-agement plan including:

1. A budget; 2. Identification of management person-

nel 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 extentknown, including the following informationfor each person:

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

2. Current residence and businessaddresses and telephone numbers;

3. Qualifications and experience in thefollowing areas:

A. General business; B. Real estate development; C. Construction; D. Marketing promotion and advertis-

ing; E. Financing and accounting; F. Gambling operations; and G. Security; and

4. A description of the terms and condi-tions of employment, including a copy of anyemployment agreements;

(C) The following information, to theextent known, must be provided for each con-sultant or other contractor who has providedor will provide management related servicesto the applicant:

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

2. Current residence and businessaddresses and telephone numbers;

3. Nature of the services provided or tobe provided;

4. Qualifications and experience of theconsultant or contractor; and



5. Description of the terms and condi-tions of any agreement including a copy ofthe agreement;

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

1. Number and development/deploy-ment of security personnel used by the appli-cant during the excursions, security staff lev-els 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 mar-

keting, promotion and advertising plans; (F) A description of the applicant’s plans

for concessions, including whether thelicensee will operate concessions, and if not,who will;

(G) A description of training of the appli-cant’s personnel; and

(H) A description of plans for compliancewith the following:

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

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

3. Policies with respect to minority con-tracting;

4. A copy of Equal OpportunityStatement and Policy of the applicant datedand signed by the chief executive officer;

5. A copy of an Affirmative ActionPolicy Procedures dated and signed by thechief executive officer; and

6. Identification of the affirmative actionofficer including his/her name, title, addressand telephone number.

(17) An applicant for a Class A or Class Blicense must disclose the impact of its gam-bling facility including:

(A) Economic impact—1. The employment created and

specifics as to the number of jobs, distin-guishing between permanent and temporary,the type of work, compensation, employerand how created;

2. Purchase of goods and services andspecifics as to the amounts and types of pur-chases, including use of Missouri goods andservices;

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 Blicense must disclose public support andopposition, whether by governmental officialsor agencies, private individuals or groups andmust supply documentation for the support oropposition.

(19) By applying for a license, an applicantagrees that if granted a license, s/he irrevoca-bly consents and agrees—

(A) To the appointment of a supervisor bythe commission to exercise any powers thatthe licensee would have in the conduct ofhis/her gaming enterprise in the event thecommission suspends or revokes his/herlicense;

(B) To the appointment by the commission,or its designee, of his/her attorney-in-fact inthe event of a commission Order ofSupervision to exercise any authority of thelicensee or any of its officers or employeesincluding, but not limited to, the right of theattorney-in-fact to affix his/her signature toany document appropriate to the operationand management of the gaming enterprise;and

(C) That subsequent change in Missourilaw or of the commission rules may diminishthe value of his/her license to any extent pos-sible.

(20) The applicant or licensee shall beresponsible to keep the application current atall times. The applicant or licensee shall noti-fy the commission in writing within ten (10)days of any changes to any response in theapplication and this responsibility shall con-tinue throughout any period of licensuregranted by the commission. All updates toapplications must be submitted by exhibit sothat each affected exhibit is resubmitted withthe updated information and with the date ofresubmission. If any application update is notmade in this manner, the commission maydeem the update not to be effective.

(21) The commission may require an affi-davit, signed on behalf of the applicant orlicensee, to be submitted as an addendum tothe application, regarding matters related tothe applicant or licensee or the proposedoperation, including but not limited to, theinvolvement of any individual in the proposedor licensed riverboat gaming operations ofthe applicant or licensee.

AUTHORITY: sections 313.004, 313.805, and313.807, RSMo 2000.* Emergency rule filedSept. 1, 1993, effective Sept. 20, 1993,expired Jan. 17, 1994. Emergency rule filed

Jan. 5, 1994, effective Jan. 18, 1994, expiredJan. 30, 1994. Original rule filed Sept. 1,1993, effective Jan. 31, 1994. Emergencyamendment filed March 2, 1995, effectiveMarch 12, 1995, expired July 9, 1995.Amended: Filed March 2, 1995, effectiveAug. 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, effec-tive Oct. 30, 1998. Amended: Filed Oct. 29,2001, effective May 30, 2002. Amended:Filed Dec. 3, 2007, effective May 30, 2008.

*Original authority: 313.004, RSMo 1993, amended 1994;313.805, RSMo 1991, amended 1993, 1994, 2000; and313.807, RSMo 1991, amended 1993, 2000.

11 CSR 45-4.040 City or County Input

PURPOSE: This rule establishes city orcounty input.

(1) Before the commission considers anapplication for a Class A or Class B licenseto operate in a given city or county, the cityor county shall submit a plan outlining thefollowing:

(A) Recommended number of licenses; (B) Recommended applicants; (C) Community economic development,

impact and affirmative action plan; (D) Proposed revenue sharing with other

municipalities; (E) Any other information the city or coun-

ty deems necessary; and (F) Any other information the commission

may request.

(2) Upon receipt of the initial applicationseeking a Class A or Class B license or bothlicenses to operate in a given city or county,the commission will notify the home dockcity or county and the applicant must file acopy of the application’s public informationwith that city or county.

(3) The home dock city or county must sub-mit its plan in writing to the commissionwithin thirty (30) days after the filing by theapplicant.

(4) The commission may grant the city orcounty an opportunity at a commission meet-ing to orally present its plan.

AUTHORITY: sections 313.004 and 313.805,RSMo 2000.* 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,


Secretary of State


effective Jan. 31, 1994. Amended: Filed Dec.3, 2007, effective May 30, 2008.

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

11 CSR 45-4.050 Application Period andFees for Class A License

PURPOSE: This rule establishes an applica-tion period and fees.

(1) All applications for a Class A licensemust be received within forty-five (45) daysof the effective date of emergency rules andthe publication of license application forms.No further Class A applications will beaccepted for a period of one (1) month afterthe initial forty-five (45)-day filing period.All other applications may be filed at anytime.

AUTHORITY: sections 313.004 and 313.812,RSMo 2000.* 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, effec-tive Jan. 31, 1994. Amended: Filed Dec. 7,1995, effective June 30, 1996. Amended:Filed Aug. 30, 1996, effective April 30, 1997.Amended: Filed May 13, 1998, effective Oct.30, 1998. Rescinded: Filed Dec. 3, 2007,changed to amended April 25, 2008, effectiveJuly 30, 2008.


11 CSR 45-4.055 Application Period andFees for Class A and Class B Licenses

PURPOSE: This rule establishes an applica-tion period and fees.

(1) The one (1)-time nonrefundable applica-tion fee for a Class A license shall be thegreater of a) fifty thousand dollars ($50,000)or b) fifteen thousand dollars ($15,000) perkey person/key person business entity notlicensed as a key person/key person businessentity or under investigation for a license as akey person/key person business entity at thetime of application, or a greater amount asdetermined by the commission. The applicantor licensee shall be assessed fees, if any, tocover the additional costs of the investigation.

(2) The one (1)-time nonrefundable applica-tion fee for a Class B license shall be fiftythousand dollars ($50,000), except that any

applicant for a Class A license shall be enti-tled to one (1) Class B license with no addi-tional fees other than fees required to coverany additional costs of the investigation, ifthe Class B application is submitted simulta-neously with the Class A application. Theapplicant or licensee shall be assessed fees, ifany, to cover the additional costs of the inves-tigation.

(3) For any Class A or Class B applicant thathas not been selected for priority investiga-tion or had other affirmative action taken ontheir application within one (1) year, theapplication shall lapse and consideration foreither a Class A or Class B license in thefuture shall require submittal of a new appli-cation and fee.

(4) The annual fee for a Class A license anda Class B license shall be twenty-five thou-sand dollars ($25,000) each, except eachClass A licensee shall be entitled to one (1)Class B license at no additional fee, and isdue upon issuance of the initial license andthereafter is due upon the application forrenewal of the license. When licenses arerenewed for multiple years, fees for alllicensed years shall be paid with the applica-tion. The Class A and all Class B licensesowned by the same Class A license shallrenew all licenses within the same month,after the second year. The commission mayadjust renewal dates of the Class A and ClassB licenses so as not to consume commissionresources in any particular month. Any suchadjustments shall result in a pro rata adjust-ment of fees. This fee is nonrefundable and isdue regardless of whether the renewal appli-cant obtains a renewed license. The applicantor licensee shall be assessed fees, if any, tocover the additional costs of the investigation.

(5) Any holder of a Class A license, at thetime these rules become effective, shall with-out further investigation or fees be granted aClass A and Class B license consistent withthese rules. The renewal dates for Class Aand Class B licenses issued under this ruleshall remain the original anniversary dates asexisted prior to the adoption of this rule.

(6) A Class A license is not transferableexcept by change of control as provided inChapter 11 CSR 45-10.

(7) A Class B license is transferable to aClass A licensee with prior approval of thecommission as provided in Chapter 11 CSR45-10.

AUTHORITY: sections 313.004 and 313.812,RSMo 2000.* This rule originally filed as 11CSR 45-4.050, renumbered as 11 CSR 45-4.055, effective May 30, 2008. Original rulefiled Dec. 3, 2007, effective May 30, 2008.


11 CSR 45-4.060 Priority of Applications

PURPOSE: This rule will establish processfor prioritizing applications.

(1) The commission shall prioritize the orderin which applications are investigated andevaluated by the commission. Factors to beconsidered in setting the priority shall includethe following:

(A) The support or opposition of the gov-erning body of the home dock city or county;

(B) The availability and suitability of adocking site;

(C) The financial resources of the appli-cant, including the criteria identified in 11CSR 45-4.080(2)(E);

(D) The applicant’s experience in manag-ing a licensed gaming operation;

(E) The applicant’s history of regulatorycompliance in Missouri and/or other jurisdic-tions;

(F) The economic impact to the state;(G) The economic impact on the home

dock city or county and the surroundingregion, including competing excursion gam-bling boats, local businesses, and local gov-ernments;

(H) The quality and scope of the proposeddevelopment;

(I) The status of governmental actionsrequired for the facility as identified in 11CSR 45-4.080(2)(F); and

(J) Other factors as the commission deemsappropriate.

AUTHORITY: sections 313.004 and313.800–313.850, RSMo 2000 and Supp.2001.* 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, effec-tive Jan. 31, 1994. Amended: Filed July 24,2002, effective March 30, 2003.

*Original authority: 313.004, RSMo 1993, amended 1994and 313.800–313.850, RSMo (see Revised Statutes ofMissouri, 2000 and Supp. 2001).



11 CSR 45-4.070 Competitiveness Stand-ards

PURPOSE: This rule establishes competitive-ness standards.

(1) The commission will determine the num-ber, location, and type of excursion gamblingboat allowed each Class A licensee. Thedetermination shall be based on the bestinterest of the state of Missouri.

AUTHORITY: sections 313.004 and313.800–313.850, RSMo 2000 and Supp.2007.* 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, effec-tive Jan. 31, 1994. Amended: Filed Dec. 3,2007, effective May 30, 2008.


11 CSR 45-4.080 License Criteria

PURPOSE: This rule will establish licensecriteria.

(1) The commission may issue a Class A orClass B license or both if it determines on thebasis of all the facts before it that the appli-cant meets the criteria contained in Chapter313, RSMo.

(2) In making the required determinations,the commission may consider the followingfactors and indices, among others:

(A) The integrity of the applicant and anypersonnel employed to have duties andresponsibilities for the operation of gaming.This determination shall include considera-tion of—

1. Any criminal record including anyfederal, state, county, city violations toinclude ordinance violation(s) of any individ-ual;

2. The involvement in litigation overbusiness practices by the applicant or anyindividuals or entities employed by the appli-cant;

3. The involvement in proceedings inwhich unfair labor practices, discriminationor regulation of gambling was an issue; and

4. Failure to satisfy any judgments,orders or decrees of any court;

(B) The types and variety of games whichthe applicant may offer;

(C) The quality of the physical facilitytogether with improvements and equipment;

(D) The imminence of completion of thefacility or any of its improvements;

(E) Financial ability to develop and operatea facility successfully, including:

1. Ownership and control structure; 2. Amounts and reliability of develop-

ment costs; 3. Certainty of site acquisition or lease; 4. Current financial conditions; 5. Sources of equity and debt funds,

amounts, terms and conditions and certaintyof commitment;

6. Provisions for cost overruns, nonre-ceipt of expected equity or debt funds, failureto achieve projected revenues or other finan-cial adversity; and

7. Feasibility of financial plan; (F) The status of governmental actions

required by the applicant’s facility including: 1. Necessary road improvements; 2. Necessary public utility improve-

ments; 3. Required governmental approvals for

development, ownership and operation; and4. Acceptance of any required environ-

mental assessment and preparation of anyrequired environmental impact statement;

(G) Management ability of the applicantincluding:

1. Qualifications of managers, consul-tants and other contractors to develop andown a gaming facility and the likelihood ofprojected operation;

2. Security plan; 3. Plans for marketing, promotion and

advertising; 4. Concession plan; 5. Plan for training personnel; and 6. Equal employment and affirmative

action plan; (H) Compliance with applicable statutes,

rules, charters and ordinances; (I) The impact of the facility including:

1. The economic impact—A. The employment created; B. The purchases of goods and ser-

vices, including Missouri goods and services; C. Public and private investment; and D. Taxes generated;

2. Ecological impact; 3. Social impact; and 4. Cost of public improvements;

(J) The extent of any public support oropposition;

(K) The plan adopted by the home dockcity or county; and

(L) Effects on competition, including: 1. Number, nature and relative location

of other Class A licensees; and 2. Number, nature and relative location

of gaming facilities in other states.

(3) The commission may also consider anyother information which the applicant dis-closes and which is relevant or helpful to aproper determination by commission and anyinformation disclosed during the backgroundinvestigation.

AUTHORITY: sections 313.004 and 313.805,RSMo 2000.* 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, effec-tive Jan. 31, 1994. Amended: Filed May 13,1998, effective Oct. 30, 1998. Amended:Filed Dec. 3, 2007, effective May 30, 2008.


11 CSR 45-4.085 Expiration of TemporaryLicense

PURPOSE: This rule establishes a time framefor the automatic expiration of temporarylicenses.

(1) All temporary licenses shall expire sixty(60) days from the date the completed back-ground investigation is received by the com-mission, unless extended by the executivedirector for up to an additional sixty (60)days, any extension beyond that would requirethe approval of the chairman.

AUTHORITY: section 313.807, RSMo 2000.*Original rule filed Dec. 3, 2007, effectiveMay 30, 2008.

*Original authority: 313.807, RSMo 1991, amended 1993,2000.

11 CSR 45-4.190 License Renewal

PURPOSE: This rule establishes licenserenewal procedures.

(1) At least ninety (90) days before the firstanniversary of its license, second anniversaryof its license, and every two (2) years there-after, each Class A and Class B licenseeshall file for license renewal on forms pro-vided by the commission.

(2) Class A, Class B, supplier, and affiliatesupplier licensees and the key person, keyperson business entity, and occupationallicensees thereof shall have a continuing obli-gation to demonstrate suitability to hold alicense by complying with all gaming lawsand regulations. The commission may reopenthe investigation of a licensee at any time.


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The licensee shall be assessed fees, if any, tocover the additional costs of the investigation.

AUTHORITY: section 313.004, RSMo 2000and sections 313.800–313.850, RSMo 2000and Supp. 2009.* Emergency rule filed Sept.1, 1993, effective Sept. 20, 1993, expiredJan. 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 amend-ment filed June 25, 1996, effective July 5,1996, expired Dec. 31, 1996. Amended: FiledJune 25, 1996, effective Feb. 28, 1997.Amended: Filed July 2, 1997, effective Feb.28, 1998. Amended: Filed May 13, 1998,effective Oct. 30, 1998. Amended: Filed Dec.3, 2007, effective May 30, 2008. Amended:Filed Aug. 3, 2009, effective March 30, 2010.


11 CSR 45-4.200 Supplier’s License

PURPOSE: This rule establishes supplier’slicense.

(1) A supplier’s license is required of personswho or entities which manufacture, sell, orlease gaming equipment, gaming supplies, orboth; or provide gaming equipment mainte-nance or repair; or provide testing services ongaming related equipment, components,peripherals, systems; or provide services onthe gaming floor that relate to gaming equip-ment of a Class A or Class B licensee, orother items directed by the commission; orprovide junket services, as defined in thischapter, to Class A or Class B licensees;unless exempted by the executive director.Additionally the executive director may waiveor modify licensing fees and requirements.Such waiver, modification, or exemptionshall not be applicable for testing laborato-ries.

(2) An application for a supplier’s licenseshall be made on a form obtained from thecommission. Each supplier license applicantmust submit the Supplier’s LicenseApplication Form for itself, a key person/keyperson business entity and Level I applicationfor each individual key person associatedwith the application and a Supplier’s LicenseApplication Form for each business entitykey person associated with the applicant. Theapplicant must also submit PersonalDisclosure Form II for any other person orentity (other than occupational licensees)associated with the applicant in any way, whois required by the commission or the directorto execute such forms, which forms shall

become part of the supplier application alongwith the key person/key person business enti-ty forms. A copy of all necessary forms isavailable for public inspection at the officesof the commission and online at the commis-sion’s web site.

(3) Applications shall include: (A) The name, address and telephone num-

ber of the applicant; (B) Federal Employer Identification

Number or Social Security Number; (C) The name, position, address, telephone

number and authorized signature of the chiefadministrative officer;

(D) Name, position, address, telephonenumber and authorized signature of the registered agent, legal service representativeand accounting, banking and financial servicerepresentative;

(E) A key person/key person business enti-ty and Level I application for each key per-son;

(F) A complete description of applicant’sbusiness and products, including forms to beused by applicant in Missouri for lease, pur-chase or service;

(G) Any agreements or understandingwhich the applicant has entered into for thepayment of fees, rents, salaries or other com-pensation by the applicant or to the applicant.If the agreements or understandings are writ-ten, copies of the written documents mustaccompany the application. If the agreementor understanding is oral, the terms shall bereduced to writing and must accompany theapplication. Should the agreement or under-standing be contingent in nature, the appli-cant shall disclose the nature of the contin-gency;

(H) The applicant’s full name and the typeof organizational structure under which theorganization operates, including the identityof any key persons;

(I) If the applicant is an individual, thelicense application must disclose—

1. The applicant’s legal name; 2. Whether the applicant is a United

States citizen; 3. Any alias(es) or business name(s)

which have ever been or are being used by theapplicant; and

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

(J) If the applicant is a corporation, theapplication must disclose—

1. The applicant’s full corporate nameand any trade names or fictitious names usedby the applicant in this or any other jurisdic-tion;

2. The jurisdiction and date of incorpo-ration;

3. The date the applicant commenced

doing business in Missouri, if any, and if theapplicant is incorporated in any jurisdictionother than Missouri, a copy of the applicant’scertificate or authority to do business inMissouri;

4. Copies of each of the following: A. Articles of Incorporation; B. Bylaws; C. Federal corporate tax returns for

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

past five (5) years; 5. Whether the applicant is publicly held

as defined by the rules of the Securities andExchange Commission;

6. All the classes of stock authorized bythe Articles of Incorporation. As to eachclass, 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 cur-

rently listed on the corporate books; and H. The terms, rights, privileges and

other information each class of stock pos-sesses;

7. If the applicant has any other obliga-tions or securities, authorized or outstanding,which bear voting rights, either absolutely orupon any contingency, together with thenature of the obligations. In addition, the fol-lowing 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; 8. The names and addresses of the direc-

tors. As to each director, the following infor-mation shall be included: the number ofshares held of record as of the applicationdate—


B. Ownership of shares shall includebeneficial owner(s). Beneficial ownershipincludes, but is not limited to, record owner-ship and: 1) Stock or other ownership in one(1) or more entities in a chain of parent andsubsidiary or affiliated entities, any one (1) ofwhich participates in the capital or profits ofa licensee, regardless of the percentage ofownership involved; or 2) Any interest whichentitles a person to benefits substantiallyequivalent to ownership by reason of any con-tract, understanding, relationship, agreement,or other arrangement even though the person



is not the record owner. Unless there are spe-cial circumstances, securities held by an indi-vidual’s spouse or relatives, including chil-dren, living in the home, who are beneficial-ly owned by the individual;

9. The names and addresses of theofficers of the applicant. As to each officer,the following information shall be included:the number of shares held on record as of theapplication date.


B. Ownership of shares shall includebeneficial owners. Beneficial ownershipincludes, but is not limited to, record owner-ship and: 1) Stock or other ownership in one(1) or more entities in a chain of parent andsubsidiary or affiliated entities, any one (1) ofwhich participates in the capital or profits ofa licensee, regardless of the percentage ofownership involved; or 2) Any interest whichentitles a person to benefits substantiallyequivalent to ownership by reason of any con-tract, understanding, relationship, agreementor other arrangement even though the personis not the record owner. Unless there are spe-cial circumstances, securities held by an indi-vidual’s spouse or relatives, including chil-dren, living in the home, who are beneficial-ly owned by the individual;

10. The names, in alphabetical order,and addresses of each record stockholder ofthe corporation. Stockholder shall meanrecord owners as defined in (3)(J)9.B. above.The applicant shall also include a percentageof the voting shares of stock owned by eachrecord stockholder;

11. Each jurisdiction, including theUnited States, for which the corporation hasmet filing and disclosure requirements ofstate securities registration and filing laws,the Securities Act of 1933 or the Securitiesand Exchange Act of 1934. The applicantshall include the most recent registrationstatement and annual report filed with theSecurities and Exchange Commission andeach state in which the corporation has regis-tered or filed the report. If the applicant hasnot registered or filed any statements with theCommissioner of Securities of the Secretaryof State of Missouri, the applicant must statethe reason the filing has not been made,including specific reference to the exemptionor exception upon which the applicant reliesfor not filing with the Commissioner ofSecurities of the Secretary of State ofMissouri; and

(K) If the applicant is an organization otherthan a corporation, the following informationmust be disclosed:

1. The applicant’s full name includingany trade names or fictitious names currently

in use by the applicant in Missouri or anyother jurisdiction;

2. The jurisdiction in which the appli-cant is organized;

3. Copies of any written agreement,constitution or other document creating orgoverning the applicant’s organization orpowers of organization;

4. The date the applicant commenceddoing business in Missouri.

A. If the applicant is organized underlaws other than Missouri laws, a copy of theauthorization of Missouri to do business inMissouri;

B. If no authorization to do businessin Missouri has been obtained, the applicantmust state the reason the authorization hasnot been obtained;

5. The applicant’s federal and state taxreturns for the past five (5) years;

6. The general nature of the applicant’sbusiness;

7. The names and addresses of eachpartner, officer or other person having orsharing policy-making authority who is a keyperson. As to each such person, the applicantmust disclose—the nature and extent of anyownership interest—

A. Ownership interest shall includeany beneficial owner. Beneficial ownershipincludes, but is not limited to, record owner-ship and: 1) Stock or other ownership in one(1) or more entities in a chain of parent andsubsidiary or affiliated entities, any one (1) ofwhich participates in the capital or profits ofa licensee, regardless of the percentage ofownership involved; or 2) Any interest whichentitles a person to benefits substantiallyequivalent to ownership by reason of any con-tract, understanding, relationship, agreementor other arrangement even though the personis not the record owner. Unless there are spe-cial circumstances, securities held by an indi-vidual’s spouse or relatives, including chil-dren, living in the home, who are beneficial-ly owned by the individual; and

B. Any voting interest, whether abso-lute or contingent, and the terms upon whichthe interest may be voted; and

8. The names, in alphabetical order, andaddresses of any individual or other entitywho holds a record or beneficial ownershipin the application. Beneficial ownershipincludes, but is not limited to, record owner-ship and: 1) Stock or other ownership in one(1) or more entities in a chain of parent andsubsidiary or affiliated entities, any one (1) ofwhich participates in the capital or profits ofa licensee, regardless of the percentage ofownership involved; or 2) Any interest whichentitles a person to benefits substantiallyequivalent to ownership by reason of any con-

tract, understanding, relationship, agreementor other arrangement even though the personis not the record owner. Unless there are spe-cial circumstances, securities held by an indi-vidual’s spouse or relatives, including chil-dren, living in the home, who are beneficial-ly owned by the individual. The followinginformation shall be given concerning eachindividual:

A. The nature of the ownership inter-est;

B. Whether the ownership interestcarries a vote and the terms upon which theinterest may be voted; and

C. The percentage of ownership; (L) Whether the applicant is directly or

indirectly controlled to any extent or in anymanner by another individual or entity. If so,the applicant must disclose the identity of thecontrolling entity and a description of thenature and extent of the control. If the con-trolling entity is not an individual, the infor-mation required by this rule for the corporationor partnership or other organization control-ling the applicant must be disclosed;

(M) Whether applicant or any key per-son/key person business entity currentlyholds, has ever held or applied for, a licenseor permit issued by a governmental authorityto own or supply gaming equipment or oper-ate a gaming facility or conduct any aspect ofgambling. If the applicant has held or holds alicense or permit, the applicant must dis-close—

1. The identity of the license or permitholder;

2. The jurisdiction issuing the license orpermit;

3. The nature of the license or permit;and

4. The dates of issuance and termina-tion, if any;

(N) Whether any person currently serving,or any person who within the past two (2)years has served, as a member of the com-mission, an employee of the commission, amember of the general assembly, or as anelected official of the state, or if any city orcounty in the state in which licensing orexcursion gambling boats have beenapproved, has any ownership interest in theapplicant;

(O) The applicant must disclose names andtitles of all public officials, or officers of anyunit of government, and relatives of the pub-lic officials or officers who, directly or indi-rectly, own any financial interest in, have anybeneficial interest in, or are the creditors of,or hold any debt instrument issued by, or holdor have any interest in any contractual or ser-vice relationship with applicant; and


Secretary of State


(P) The applicant must disclose all politi-cal contributions, loans, donations or otherpayments of one hundred dollars ($100) ormore, that the applicant has made directly orindirectly to any candidate or office holder,within five (5) years prior to application.

(4) The applicant must disclose with respectto the applicant and all key persons/key per-son business entities—

(A) Complete information about whetherthe individual or entity has been or currentlyis a party to a lawsuit, including, but not lim-ited to:

1. Bankruptcies, whether voluntary orinvoluntary or any other proceeding or for-mal process to adjust, deter, suspend or oth-erwise work out payment of any debt;

2. Criminal proceedings; 3. Any other civil proceeding, including

disputes over filings concerning the paymentof any required tax;

4. Any administrative proceeding wherean individual or entity has had a supplier,gambling or other business or professionallicense or permit revoked, suspended,restricted, denied or the renewal of thatlicense denied or has been a party in any pro-ceeding to do so. If any applicant or entityhas been involved in a proceeding, the appli-cant must disclose—

A. The licensing authority and loca-tion;

B. The date of commencement; C. The circumstances; D. The date of decision; and E. The result;

5. Any administrative or judicial pro-ceeding of the violation of a statute or rulerelating to unfair labor practices, discrimina-tion or gambling. If any individual or entityhas been involved in any proceeding, theapplicant must disclose—

A. The date of commencement; B. The forum; C. The circumstances; D. The date of any decision; and E. The result;

6. Any action against a government reg-ulator of gambling. If so, the applicant mustdisclose—

A. The date of commencement; B. The forum; C. The circumstances; D. The date of any decision; and E. The result;

7. Whether any individual or entity hasfailed to satisfy any judgment, decree ororder of any administrative or judicial tri-bunal. If so, the applicant must disclose—

A. The date and location;

B. The circumstances surrounding thefailure;

C. Whether any individual suffersfrom a current addiction to a controlled sub-stance;

D. If so, the applicant must disclosethe circumstances; and

E. All financial interests in the fol-lowing categories:

(I) If an individual, the applicantmust disclose all businesses in which appli-cant, applicant’s spouse or applicant’s chil-dren have an equity interest;

(II) If applicant is a corporation,partnership or other business entity, theapplicant must disclose all other corpora-tions, partnerships or business entities inwhich it has an equity interest including stateof incorporation or registration, if applicable.This information need not be provided by acorporation, partnership or business entitythat has a pending registration statement filedwith the Federal Securities and ExchangeCommission;

(III) An application for a supplierlicense must disclose all financial interest thatany officer, director or shareholder has in anyentity involved in gambling. The financialinterest shall include all direct and indirectinterests;

(IV) The financial interests of eachindividual disclosed under this rule shall beset forth separately and shall include:

(a) The entity in which the finan-cial interest exists;

(b) The nature of the financialinterests;

(c) The amount of capital invest-ment;

(d) The expected return for thecurrent fiscal year; and

(e) Actual returns for the pastfive (5) years; and

(V) The applicant or licensee shallbe responsible to keep its application currentat all times. The applicant or licensee shallnotify the commission in writing within ten(10) days of any changes to any response inthe application. All updates to applicationsmust be submitted by exhibit so that eachaffected exhibit is resubmitted with the updat-ed information and with the date of resub-mission. If any application update is notmade in this manner, the commission maydeem the update not to be effective.

(5) The commission may require an affidavit,signed on behalf of the applicant or licensee,to be submitted as an addendum to the appli-cation, regarding matters related to the appli-cant or licensee or the proposed supplierbusiness, including but not limited to, the

involvement of any individual in the proposedor licensed supplier business of the applicantor licensee.

AUTHORITY: section 313.004, RSMo 2000and sections 313.805 and 313.810, RSMoSupp. 2009.* 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, effec-tive Jan. 31, 1994. Emergency amendmentfiled March 2, 1995, effective March 12,1995, expired July 9, 1995. Amended: FiledMarch 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: FiledFiled May 13, 1998, effective Oct. 30, 1998.Amended: Filed Oct. 29, 2001, effective May30, 2002. Amended: Filed Dec. 3, 2007,effective May 30, 2008. Amended: Filed Aug.3, 2009, effective March 30, 2010.

*Original authority: 313.004, RSMo 1993, amended 1994;313.805, RSMo 1991, amended 1993, 1994, 2000, 2008;and 313.810, RSMo 1991, amended 1993, 2003.

11 CSR 45-4.205 Affiliate Supplier’sLicense

PURPOSE: This rule establishes an affiliatesupplier’s license, which may be issued toaffiliates of riverboat licensees.

(1) An affiliate supplier’s license is requiredof any person who is an affiliate of a Class Aor Class B licensee or a key person/key per-son business entity of a Class A licensee andsells or leases gambling equipment, gamblingsupplies or both to its Class B licensee affili-ate. For purposes of 11 CSR 45-4.205, an“affiliate” of, or a person “affiliated” with, aspecific person is a person that directly orindirectly, through one or more intermedi-aries, controls, or is controlled by, or is undercommon control with, the person specified.The term “control” (including the terms“controlling,” “controlled by” and “undercommon control with”) means the posses-sion, direct or indirect, of the power to director cause the direction of the management andpolicies of a person, whether through theownership of voting shares, by contract, orotherwise.

(2) Applications for an affiliate supplier’slicense shall be made on a form obtainedfrom the commission. Copies of all necessaryforms are available for public inspection atthe offices of the commission.



(3) Applications shall include the informationset forth in 11 CSR 45-4.200(3) and theapplication shall be subject to 11 CSR45-4.200(4)(A)7.E.(V) and (5).

(4) The commission may issue an affiliatesupplier’s license if it determines on the basisof all the facts before it that the applicantmeets the criteria contained in Chapter 313,RSMo. In making the required determina-tions, the commission may consider the fac-tors and indices set forth in 11 CSR45-4.230(2), among others.

(5) The one (1)-time nonrefundable applica-tion fee for an affiliate supplier’s license shallbe ten thousand dollars ($10,000), or agreater amount as determined by the com-mission. The applicant or licensee shall beassessed fees, if any, to cover the additionalcosts of the investigation. Additionally, theexecutive director may waive or modifylicensing fees.

(6) The key person/key person business enti-ty employed by affiliate suppliers will berequired to be licensed by the MissouriGaming Commission. The affiliate supplierkey person/key person business entity appli-cation shall require a one (1)-time non-refundable fee of one thousand dollars($1,000) plus the annual licensing fee of onehundred dollars ($100). The applicant orlicensee shall be assessed fees, if any, tocover the additional costs of the investigation.The licensing and renewal fees for Level Iand Level II occupational licenses shall be thesame as set forth for Class A and Class Boccupational licensees.

(7) The annual fee for an affiliate supplier’slicense shall be five thousand dollars($5,000), or a greater amount as determinedby the commission. The annual fee for anaffiliate supplier’s license is due uponissuance of the initial license and thereafter isdue upon application for renewal of thelicense. This fee is nonrefundable and is dueregardless whether the renewal applicantobtains a renewed license.

(8) At least ninety (90) days before licenseexpiration, each affiliate supplier licenseeshall register on forms provided by the com-mission for renewal of its license.

(9) The holder of an affiliate supplier’slicense shall be subject to all the regulationsapplicable to the holder of a supplier’slicense; provided, however, notwithstandingany other regulation to the contrary, the hold-er of an affiliate supplier’s license may onlypurchase or lease gambling equipment or

gambling supplies from the holder of a sup-plier’s license or temporary supplier’s licenseor from its affiliate Class A or Class Blicensee and may only sell or lease gamblingequipment or gambling supplies to the holderof a supplier’s license or temporary suppli-er’s license or to its affiliate Class B licensee.Notwithstanding any other regulation to thecontrary, no holder of an affiliate supplier’slicense may directly or indirectly sell or leasegambling equipment or gambling supplies toany Class A or Class B licensee that is not anaffiliate of the holder of the affiliate suppli-er’s license.

AUTHORITY: sections 313.004, 313.805,313.807, and 313.812, RSMo 2000 and sec-tion 313.800, RSMo Supp. 2007.* Originalrule filed May 13, 1998, effective Oct. 30,1998. Amended: Filed Oct. 29, 2001, effec-tive May 30, 2002. Amended: Filed Dec. 3,2007, effective May 30, 2008.

*Original authority: 313.004, RSMo 1993, amended 1994;313.800, RSMo 1991, amended 1993, 1994, 2005;313.805, RSMo 1991, amended 1993, 1994, 2000;313.807, RSMo 1991, amended 1993, 2000; and 313.812,RSMo 1991, amended 1993, 1994, 2000.

11 CSR 45-4.210 Temporary Supplier’sLicense

PURPOSE: This rule establishes procedureswhereby the commission may issue temporarysupplier’s licenses.

(1) The commission, in its sole discretion,may issue a temporary supplier’s license toany applicant for a supplier’s license otherthan one which provides testing services forgaming related equipment, components,peripherals, systems, or other items directedby the commission, who has fulfilled the fol-lowing criteria:

(A) The applicant has completed an appli-cation for a supplier’s license to the satisfac-tion of the commission; and

(B) Has paid the application fee; and(C) All persons required to submit finger-

prints to the commission have submitted fin-gerprints on forms provided by the commis-sion; and

(D) The application does not reveal anyinformation that would result in an automaticdenial pursuant to Chapter 313, RSMo or 11CSR 45-1, et seq., as amended from time-to-time; and

(E) A criminal history check completed bya commission agent does not reveal that theapplicant has been convicted of a felonyunder Missouri law, the laws of any otherstate, or the laws of the United States; and

(F) The applicant shows good cause forgranting the temporary license.

(2) A temporary license holder remains anapplicant for a supplier’s license and is sub-ject to all limitations and restrictions relatingto applicants and licensees under sections313.800 to 313.850, RSMo, and 11 CSR 45-1 et seq., as amended from time-to-time,except that the applicant is accorded the priv-ileges that are granted to the temporarylicensee pursuant to the provisions of thisrule.

(3) A temporary license issued under the pro-visions of this rule shall not be transferred. Ifan applicant fails to begin providing goods orservices to a Class A or Class B licenseewithin ninety (90) days of issuance of thetemporary license, the applicant shall advisethe commission immediately and the com-mission may, in its discretion, revoke the tem-porary license.

(4) A temporary license is issued in the solediscretion of the commission. The commis-sion may refuse to issue a temporary suppli-er’s license, or revoke a temporary supplier’slicense for any of the following reasons:

(A) The applicant or temporary licensee isthe subject of a criminal or regulatory inves-tigation in any jurisdiction; or

(B) The applicant or temporary licenseehas had its license revoked or been disci-plined in another jurisdiction;

(C) The applicant or temporary licenseefails to pay applicable taxes;

(D) The applicant or temporary licenseeviolates a provision of sections 313.800 to313.850, RSMo or violates a rule of the com-mission;

(E) There is evidence that could lead to theapplicant or temporary licensee being foundunsuitable to hold a license.

(5) The following procedure may be used torevoke a temporary license issued under theprovisions of this rule:

(A) The executive director may, upon writ-ten notice to the temporary licensee, revoke atemporary supplier’s license if the executivedirector determines that the backgroundinvestigation reveals information that wouldlead the commission staff to recommend thatthe applicant be found not suitable for licen-sure. The executive director shall also notifyall Class A licensees of the revocation of theapplicant’s temporary supplier’s license;

(B) If an applicant’s temporary supplier’slicense is revoked, the applicant shall not bepermitted to provide any riverboat licenseewith gaming equipment or supplies; and


Secretary of State


(C) If an applicant’s temporary supplier’slicense is revoked by the executive director,the executive director shall immediately for-ward the application to the commission foraction.

(6) The holder of a temporary supplier’slicense shall file an annual renewal applica-tion pursuant to 11 CSR 45-4.250 and theannual fee as provided for in 11 CSR 45-4.240. The applicant shall be responsible fora prorated annual fee as set forth in 11 CSR45-4.240(2)(B) upon issuance of a supplier’slicense, notwithstanding the payment of theannual fee at the time the temporary suppli-er’s license is issued.

(7) A temporary supplier’s license entitles theholder to sell or lease gambling equipment,gambling suppliers, or both, to any Class Alicensee, subject to the conditions and restric-tions imposed by this rule.

(8) If the holder of a temporary supplier’slicense is issued a supplier’s license under 11CSR 45-4.230, such supplier’s license shallsupersede the existing temporary supplier’slicense, and the temporary supplier’s licenseshall be null and void upon issuance of thesupplier’s license; provided that the fee duefor the temporary supplier’s license shall notbe refunded in whole or in part and the feefor the supplier’s license shall be paid as setforth in 11 CSR 45-4.240(2)(B).

(9) Gaming laboratories that test and certifygaming equipment shall not be issued tempo-rary licenses.

AUTHORITY: sections 313.004 and313.800–313.850, RSMo 2000 and Supp.2007.* Original rule filed March 18, 1996,effective Sept. 30, 1996. Amended: Filed May13, 1998, effective Oct. 30, 1998. Amended:Filed Dec. 3, 2007, effective May 30, 2008.


11 CSR 45-4.230 Supplier’s LicenseCriteria

PURPOSE: This rule establishes criteria fora supplier’s license.

(1) The commission may issue a supplier’slicense if it determines on the basis of all thefacts before it that the applicant meets the cri-teria contained in Chapter 313, RSMo.

(2) In making the required determinations,the commission may consider the followingfactors and indices, among others:

(A) The integrity of the applicant and anypersonnel to have duties or responsibilitiesfor the applicant. This determination shallinclude consideration of:

1. Any criminal record including anyfederal, state, county, city violations toinclude ordinance violation(s) of any individ-ual;

2. The involvement in litigation overbusiness practices by the applicant or anyindividuals or entities affiliated with theapplicant;

3. The involvement in proceedings inwhich unfair labor practices, discriminationor regulation of gambling was an issue; and

4. Failure to satisfy any judgments,orders or decrees of any court;

(B) The types and variety of gaming equip-ment or supplies which the applicant mayoffer;

(C) The quality, availability, practicality orlegality of the gaming equipment or suppliesto be offered;

(D) Financial ability to operate its businesssuccessfully, including:

1. Ownership and control structure; 2. Current financial conditions; 3. Sources of equity and debt funds,

amounts, terms and conditions, and certaintyof commitment;

4. Provisions for cost overruns, nonre-ceipt of expected equity or debt funds, failureto achieve projected revenues or other finan-cial adversity; and

5. Feasibility of financial plan; (E) The status of governmental actions

required by the applicant’s gaming equipmentor supplies to be offered, including requiredgovernmental approvals for development,ownership and operation;

(F) Management ability of the applicantincluding:

1. Qualifications of managers, consul-tants and other contractors to operate a sup-plier company;

2. Plans for marketing, promotion andadvertising;

3. Plan for training personnel; and 4. Equal employment and affirmative

action plan; (G) Compliance with applicable statutes,

rules, charters and ordinances; (H) The impact of the business proposed to

be conducted in Missouri including:1. The economic impact;

A. The employment created;B. The purchases of goods and ser-

vices, including Missouri goods and services; C. Public and private investment;

D. Taxes generated; and2. Social impact;

(I) The extent of any public support oropposition;

(J) Effects on competition, including thenumber, nature and products offered of othersupplier licensees or applicants;

(K) The failure to disclose informationcalled for in the application process or thefalse statement of information called for inthe application process; and

(L) Any just cause.

(3) Any supplier licensee shall maintain a logof all written, electronic, or otherwise docu-mented complaints received relating to gam-ing products and services provided and shallprovide the log and supporting documenta-tion to the commission upon request. The logshall be provided to the commission with therenewal application. The complaint log andsupporting documentation shall be a closedrecord pursuant to section 313.847, RSMounless otherwise determined by the commis-sion.

(4) An independent testing laboratory apply-ing for a supplier license is subject to com-pliance with all other requirements of thisrule in addition to the following criteria:

(A) The independent testing laboratory(hereinafter referred to as “test laboratory”)shall test, evaluate, conduct math analyses,verify, certify, and/or render opinions asdirected by the commission on—

1. Table games, including electronic anddealer assisted electronic table games;

2. Electronic gaming devices and pay-glass;

3. Random number generators; 4. Progressive gaming devices and con-

trollers; 5. Wide area progressive systems and

associated equipment; 6. Online monitoring and control sys-

tems; 7. Ticket validation systems; 8. Wireless devices and systems; 9. Cashless, promotional, and bonusing

systems; 10. Kiosks; 11. All gaming related peripherals, soft-

ware, and systems; 12. Electronic bingo devices, software,

and systems; 13. Shuffling devices; and 14. Other gaming devices and associat-

ed equipment (hereinafter referred to as“gaming equipment”) for compliance withMissouri laws, regulations, adopted technicalstandards, and requirements as codified orotherwise set forth;




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(B) No test laboratory or its owners, offi-cers, directors, managers, or employeesshall—

1. Own any interest in or be employedby:

A. A Class A licensee; orB. A Class B licensee; orC. A Level I occupational licensee; orD. A Level II occupational licensee;

orE. An affiliate supplier licensee; orF. A supplier licensee other than the

test laboratory for whom the person is anofficer, director, manager, or employee.

2. This regulation shall not preclude testlaboratories from contracting directly withsuppliers or gaming companies to producetest reports that are in turn used to show evi-dence of regulatory compliance;

(C) No Class A, Class B, supplier, affili-ate supplier or occupational licensee shallown an interest in or be employed by a testlaboratory performing services relating to theconduct or regulation of gaming in Missouriunless such person is required to be licensedas a key person or occupational licensee inconjunction with a test laboratory’s licensingas a supplier. No person may be a key personor employed by more than one (1) test labo-ratory licensed by a jurisdiction within theUnited States;

(D) The test laboratory shall make avail-able upon the commission’s request the back-ground investigations conducted on each ofits employees pursuant to 11 CSR 45-10.090;

(E) The test laboratory shall perform allcompliance requirements to the sole satisfac-tion of the commission;

(F) Prior to any new technology being cer-tified for the Missouri jurisdiction, the testlaboratory shall consult with the commissionand obtain approval from the commissionprior to testing, evaluating, analyzing, certi-fying, verifying, or rendering opinions for oron behalf of the commission. The test labora-tory may bill the supplier of the new technol-ogy for all cost associated with such consul-tation with the commission. Any informationa test laboratory may provide to the commis-sion relating to the consideration of new tech-nology shall be considered proprietary infor-mation and a closed record pursuant to sec-tion 313.847, RSMo provided such informa-tion is mutually agreed upon between thecommission and the test laboratory andlabeled as proprietary.

(G) All testing and certification of gamingequipment performed for or on behalf of thecommission shall be conducted at the test lab-oratory’s place(s) of business which shall belocated within the United States, all of whichshall maintain current International

Organization for Standardization (ISO)(17020/17025) certification and accredita-tion. Upon request, the test laboratory mustsupply the commission all ISO required inter-nal controls, policies and procedures. Inextreme circumstances, the executive directormay authorize, in writing, testing and certifi-cation of gaming equipment outside of theUnited States on a temporary basis;

(H) The test laboratory shall not subcon-tract any testing or certification of gamingequipment performed for or on behalf of thecommission without prior written approvalfrom the commission;

(I) The commission shall, at all times, haveimmediate and unfettered access to the testlaboratory’s place(s) of business. Should it bedetermined necessary by the commission, thetest laboratory shall reimburse the commis-sion for all reasonable and necessary expens-es incurred by its agents:

1. To travel to the site to inspect theoperations and certification process of gam-ing equipment;

2. To inspect each of the test laborato-ry’s place(s) where testing for the commis-sion is conducted to ensure the integrity ofwork is maintained;

3. To investigate quality control issuesas determined by the commission; and

4. For such reasons as the commissiondeems appropriate;

(J) All reports, documentation, and materi-al developed or acquired by the test laborato-ry while conducting work for or on behalf ofthe commission shall become the joint prop-erty of the commission and the test laborato-ry. Upon expiration, termination, or cancel-lation of the licenses, certified copies of alldocuments, data, reports, and accomplish-ments prepared, furnished or completed bythe test laboratory for or on behalf of thecommission shall be delivered to the com-mission within forty-five (45) calendar daysand become the joint property of the com-mission and the test laboratory. In addition,the test laboratory shall provide access to anyequipment or materials used while conduct-ing work for or on behalf of the commissionfor a period of one hundred twenty (120) daysafter the expiration, termination or cancella-tion of the licenses.

1. Reports, documentation, conversa-tion, discussions, and material prepared,including program(s) or source code devel-oped as a result of work performed for or onbehalf of the commission, are proprietary andconfidential and shall not be used or market-ed by the test laboratory or released to thepublic without the prior written consent ofthe commission, which shall not be unrea-sonably withheld.

2. The test laboratory shall employ dataredundancy that permits a complete andprompt recovery of all information and docu-mentation retained by the test laboratory inthe event of any malfunction and shall utilizeenvironmental controls such as uninterrupt-ible power supplies and fireproofing andwaterproofing materials to protect criticalhardware and software from natural disas-ters.

3. The test laboratory shall maintain arepository of approved, obsolete, and revokedsoftware for all gaming equipment tested andcertified. The repository shall be secure andhave restricted access, which shall be docu-mented on a commission approved ingressand egress log. The test laboratory shallretain the log for a minimum of two (2) years.The repository shall be equipped with envi-ronmental controls such as fireproofing andwaterproofing materials to protect softwarefrom natural disasters. The test laboratoryshall provide the commission copies of allpreviously certified Critical Program StorageMedia (CPSMs) within one hundred twenty(120) days of the expiration, termination orcancellation of the test laboratory’s license.

4. All documents, data, reports, andaccomplishments prepared, furnished orcompleted by the test laboratory for or onbehalf of the commission shall be retaineduntil its disposal is approved in writing by thecommission;

(K) Upon the test laboratory’s certificationof gaming equipment, a unique identificationcode or signature acceptable to and approvedby the commission shall be assigned to eachCPSM as defined by 11 CSR 45-1.090. Theassigned identification code or signature andthe means for generating such code or signa-ture shall be included in all documents,reports, and databases.

1. The test laboratory shall provide thecommission with step-by-step verificationprocedures for each tool, device or mecha-nism used to assign the unique identificationcodes or signatures.

2. The test laboratory shall provide tothe commission, at no charge, in quantitiesdetermined by the commission, any verifica-tion tool, device or mechanism that isrequired for commission agents to verify thecode or signature of any approved CPSM.The test laboratory may charge the supplierfor expenses associated with such verificationtools.

3. The test laboratory must support theverification tools, devices or mechanisms andreplace, repair, update or upgrade them asdeemed necessary by the commission. Thetest laboratory may charge the supplier for

expenses associated with such verificationtools.

4. All equipment, procedures, softwareor other intellectual property developed, orowned and protected by United States’patents, copyrights, or trademark laws in con-junction with the unique identification signa-ture process shall be closed record undersection 313.847, RSMo, provided such infor-mation is mutually agreed upon between thecommission and the test laboratory andlabeled as proprietary;

(L) The test laboratory shall provide, in acommission approved format:

1. A verification manual, includingtables and color photographs, of all criticalcomponents identified by the test laboratoryor commission must be verified and sealed.

2. Flow charts and diagrams of each sys-tem and its associated hardware and softwareapproved by the test laboratory on behalf ofthe commission, depicting the interrelation-ship of system components, identifying com-ponents which are to be field tested and ver-ified by commission agents.

3. The supplier of the equipment to beverified shall be responsible for all expensesassociated with providing the verificationmanuals and diagrams. Failure of the suppli-er to pay the necessary expenses shall in noway release the test laboratory from providingto the commission current documentation asoutlined in paragraphs (4)(L)1. and 2.;

(M) The test laboratory shall develop andmaintain a database, acceptable to the com-mission, of all approved, obsolete, andrevoked gaming equipment certified for thestate of Missouri.

1. The test laboratory shall maintain aquality assurance mechanism to ensure uni-form data and data entry processes.

2. The database and report(s) must becurrent as of the end of the previous businessday, and in a commission approved format;

(N) The test laboratory shall, within five(5) business days after the certification, rejec-tion, or withdrawal of any submission, issuea letter to the commission describing the test-ing that was performed on the gaming equip-ment and the result of such testing. All lettersor documentation must be submitted in acommission approved format. All certifica-tions are subject to review by the commis-sion. The commission, through the executivedirector, reserves the right to immediatelysuspend, revoke or reject any test laboratorycertifications with or without cause. The testlaboratory may request, in writing, a hearingwithin thirty (30) days of the occurrence. Theexecutive director will exercise authority toresolve all issues at hearing subject to appealto the commission;

(O) Should the test laboratory be informedof any situation or incident involving theintegrity of any gaming equipment presentlyapproved for Missouri, the test laboratoryshall immediately notify the commission ofthe incident;

(P) The test laboratory shall directlyinvoice the licensee, supplier, entity or indi-vidual for whom the testing services wereprovided;

(Q) The test laboratory shall not receiveany bonus, premium, or other compensationfrom any licensee, supplier, entity, or indi-vidual(s) above the provided billable hourlyrates pursuant to subsection (4)(Y) for ser-vices provided;

(R) The test laboratory shall, upon request,provide the commission a summary report ofall invoices to licensees, suppliers, entities orindividuals during the previous month. Thereport shall include for each submission theitem submitted—

1. The date on which the submissionwas received in the laboratory;

2. The date rejected, withdrawn or cer-tified;

3. The invoice number;4. Invoice date;5. Name of licensee, supplier, entity or

individual for whom the services were ren-dered;

6. Billable hours;7. Hourly rates;8. Invoice total;9. The test laboratory shall be subject to

commission audits, the costs for which shallbe borne by the test laboratory;

(S) The test laboratory shall possess andmaintain all online computerized data moni-toring systems approved by the commissionwhich are utilized in Missouri licensed gam-ing establishments. Such online computerizeddata monitoring systems shall be used in theinteroperability testing as set forth in 11 CSR45-5.190;

(T) The test laboratory shall provide, freeof charge to the commission, twenty-four(24) hours a day, technical and regulatorycompliance support. The test laboratory shallprovide responses and follow-up withintwelve (12) hours. In instances where the testlaboratory providing the support is also con-ducting the testing for the device, the timeallocated for support shall be considered partof the testing process and the test laboratorymay bill the supplier for the cost of the tech-nical support. In instances where the test lab-oratory providing the support is not conduct-ing the testing for the device, the commissionmay require the supplier of the device toreimburse the test laboratory at the rate the

test laboratory charges suppliers for suchsupport;

(U) The test laboratory shall, as requiredby the commission, perform on-site inspec-tions of gaming equipment. During on-siteinspections, the test laboratory:

1. Inspection personnel shall not social-ize with gaming operators’ or suppliers’ staff;

2. Shall furnish all necessary materialand equipment to perform the required ser-vices;

3. Shall provide competent and properlytrained personnel in accordance with testingstandards, Missouri laws, regulations, andinternal policies;

4. Shall invoice for actual and reason-able travel and travel related expenses consis-tent with ordinary and prudent business prac-tices given the circumstances of the travelrequired for the project. The commissionshall not be liable for reimbursement for suchtravel and travel related expenses. Thelicensee, for whom the on-site inspectionoccurred, shall be responsible for the pay-ment of travel and related travel expenses;

5. Inspection personnel shall obtain aMissouri Level II occupational license priorto performing any actions on the gamingfloor;

(V) The test laboratory shall provide, freeof charge, additional consulting services forcommission personnel on an as needed, ifneeded basis. Such additional services at aminimum shall include, but not be limited to:

1. Providing consultation to the commis-sion and assist the commission in draftingrules and procedures regarding the establish-ment of uniform operating procedures forgaming equipment testing;

2. Providing training to commissionemployees on gaming equipment testing, newtechnology, and auditing procedures;

(W) The test laboratory shall create gamingequipment test scripts and test plans whichmeasure adherence to Missouri statutes, regu-lations, and adopted technical standards. Allgaming equipment shall be tested in accor-dance with said test scripts and test plans. Thecommission will assess the test laboratory’stest scripts’ and test plans’ adequacy in mea-suring compliance with Missouri laws, regu-lation, and adopted technical standards. Thetest laboratory shall modify the test scriptsand test plans to adapt to new technology oras directed by the commission. The test labo-ratory and commission will conduct an annu-al review of the test scripts and test plans, andmodify them as necessary. All documents,procedures or other intellectual propertyemployed by a test laboratory in conjunctionwith the development of test scripts is deemedto be proprietary information and a closed



record under section 313.847, RSMo, unlessotherwise determined by the commission;

(X) The test laboratory shall conductforensic evaluations or analyses on gamingequipment (whether legal or illegal) as direct-ed by the commission. A final forensic reportmust be drafted outlining all testing performed,the cause of the problem, and the outcome ofthe investigation if specifically identified;

(Y) The test laboratory shall annually, oras changes occur, provide documentation tothe commission of all possible billable hourlyrates for services offered;

(Z) The test laboratory shall employ a staffof full-time skilled professionals of suchnumber to afford a separation of responsibil-ities that provides independent work productverification and fulfills the requirements stat-ed herein to the satisfaction of the commis-sion. The test laboratory shall, at a mini-mum, employ personnel in the disciplines ofmathematics, engineering (mechanical, elec-trical, and software), systems and communi-cation protocol, compliance and qualityassurance, and field inspections;

(AA) The test laboratory shall only utilizepersonnel in performance of services who areauthorized to work in the United States inaccordance with applicable federal and statelaws and regulations; and

(BB) The test laboratory shall provide allservices using competent and properlytrained personnel in accordance with thehighest testing standard of the gaming indus-try.

(5) The commission may also consider anyother information which the applicant dis-closes and which is relevant or helpful to aproper determination by commission and anyinformation disclosed during the backgroundinvestigation.

AUTHORITY: sections 313.004 and 313.805,RSMo 2000.* Emergency rule filed Feb. 3,1995, effective Feb. 13, 1995, expired June12, 1995. Original rule filed Feb. 3, 1995,effective Aug. 30, 1995. Amended: Filed Dec.3, 2007, effective May 30, 2008.


11 CSR 45-4.240 Supplier’s License Appli-cation and Annual Fees

PURPOSE: This rule establishes fees for alltypes of supplier’s licenses.

(1) The one (1)-time nonrefundable applica-tion fee for a supplier’s license shall be tenthousand dollars ($10,000), or a greater

amount as determined by the commission.The applicant or licensee shall be assessedfees, if any, to cover the additional costs ofthe investigation. The executive director maywaive or modify licensing fees.

(2) The annual fee for a supplier’s licenseshall be—

(A) Five thousand dollars ($5,000);(B) In the case of a supplier’s license being

issued to an applicant that is currently theholder of a temporary supplier’s license, theinitial annual fee shall be paid in a proratedamount of five thousand dollars ($5,000) tocover the time from the original expiration ofthe current temporary supplier’s license untilthe expiration of the supplier’s license; or

(C) A greater amount as determined by thecommission.

(3) The annual fee for supplier’s licenses isdue upon issuance of the initial license andthereafter is due upon application for renew-al of the license. This fee is nonrefundableand is due regardless of whether the renewalapplicant obtains a renewed license.

AUTHORITY: sections 313.004 and313.800–313.850, RSMo 2000 and Supp.2007.* 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, effec-tive Jan. 31, 1994. Amended: Filed June 2,1995, effective Dec. 30, 1995. Amended:Filed Aug. 30, 1996, effective April 30, 1997.Amended: Filed May 13, 1998, effective Oct.30, 1998. Amended: Filed Dec. 3, 2007,effective May 30, 2008.


11 CSR 45-4.250 Supplier’s LicenseRenewal

PURPOSE: This rule establishes the processfor renewal of a supplier’s license.

(1) At least ninety (90) days before licenseexpiration, each supplier licensee shall regis-ter on forms provided by the commission forrenewal of its license.

(2) The commission may adjust renewal datesof the supplier licenses to economize com-mission resources in any particular month.Any such adjustments shall result in a prorata adjustment of fees.

AUTHORITY: sections 313.004 and313.800–313.850, RSMo 2000 and Supp.2007.* Emergency rule filed Sept. 1, 1993,effective Sept. 20, 1993, expired Jan. 17,1994. Emergency ruled filed Jan. 5, 1994,effective Jan. 18, 1994, expired Jan. 30,1994. Original rule filed Sept. 1, 1993, effec-tive Jan. 31, 1994. Amended: Filed June 25,1996, effective Feb. 28, 1997. Amended:Filed July 2, 1997, effective Feb. 28, 1998.Amended: Filed Dec. 3, 2007, effective May30, 2008.


11 CSR 45-4.260 Occupational Licensesfor Class A, Class B, Suppliers andAffiliate Suppliers

PURPOSE: This rule establishes occupation-al licenses.

(1) Every person in a position classified asOccupational License Level I or OccupationalLicense Level II or otherwise participating ingaming operations in any capacity shall, priorto performing or practicing his/her businessprofession or skills, be a current employee ofthe Class A, Class B, supplier, or affiliatesupplier licensee, and have obtained theappropriate occupational license from thecommission, except for public officers andpublic employees engaged in the performanceof their official duties and other individualsexempted by the commission. The commis-sion may authorize the director to license ormake the initial determination of unsuitabili-ty on the application of any Level II occupa-tional license applicant; provided, however,that this section shall not limit any otherauthorization of the director. The authoriza-tion provided hereunder shall not include theauthority to review findings of a hearing offi-cer under the provisions of 11 CSR 45-13.

(2) As a condition of licensure, all applicantsfor occupational licenses are required to befingerprinted, photographed and to executesuch waivers as may be provided by formsapproved by the commission, provided thatapplicants for a business entity key personlicense need not be fingerprinted or photo-graphed.

(3) On forms provided by the commission,the applicant must demonstrate that his/herexperience, reputation, competence andfinancial responsibility are consistent withthe best interest of gaming and the provisions


Secretary of State


of the statutes of Missouri and the UnitedStates.

(4) The commission may refuse an occupa-tional license to any person or revoke or sus-pend an occupational license of any person—

(A) Who has been convicted of a crime orhas been found guilty of, plead guilty or nolocontendere to, or entered an Alford plea to acrime, or received a suspended imposition ofsentence, for violations of any federal, state,county or city law including ordinance viola-tions;

(B) Who is unqualified to perform theduties required of the applicant;

(C) Who has a current addiction to a con-trolled substance;

(D) Who fails to disclose or states falselyinformation called for in the application pro-cess or uses fraud, deception, misrepresenta-tion, or bribery in securing a permit orlicense issued under the Riverboat GamblingAct;

(E) Who has failed to comply with or makeprovision for complying with Chapter 313,RSMo, the rules of this commission, or anyfederal, state, or local law or regulation;

(F) Who fails to comply with any rule,order or ruling of the commission or itsagents;

(G) Whose license has been suspended,revoked or denied in any jurisdiction;

(H) Who is a past or present member orparticipant in organized crime as such mem-bership or participation may be found ordetermined by the commission;

(I) Who is an illegal alien; (J) Who is an employee of the commission

or is a spouse, child, brother, sister, parent,son-in-law, daughter-in-law, stepchild or stepparent of any employee or member of thecommission;

(K) Who is currently serving or has withinthe past two (2) years served as a member oremployee of the commission, a member ofthe general assembly, or as an elected orappointed official of the state or of any city orcounty within the state in which the licensingof excursion gambling boats has beenapproved in either the city or the county orboth or as an employee of the state highwaypatrol designated by the superintendent of thehighway patrol or any employee of the stateattorney general’s office designated by thestate attorney general to have direct regulato-ry authority related to excursion gamblingboats;

(L) Who is financially irresponsible; (M) Who is not of good moral character or

has associated with, in either social or busi-ness affairs, or employed persons of notori-ous or unsavory reputation or who have

police records, or who have failed to cooper-ate with any officially constituted investigato-ry or administrative body and would adverse-ly affect public confidence and trust in gam-bling;

(N) Who provides the commission or itsagents with false or misleading information,documents, or data or who makes false ormisleading statements to the commission orits agents;

(O) Who commits an act or omission that,if committed by a Class A licensee, would begrounds for discipline or denial of an appli-cation;

(P) Who obtains or attempts to obtain anyfee, charge, or other compensation by fraud,deception, or misrepresentation; or

(Q) For incompetence, misconduct, grossnegligence, fraud, misrepresentation or dis-honesty in the performance of the functionsor duties regulated by sections 313.800 to313.850, RSMo.

(5) Within the five (5)-year period immedi-ately preceding application for an occupa-tional license or while holding an occupa-tional license, a conviction, plea of guilty ornolo contendere, or the entering of an Alfordplea in any jurisdiction for the followingtypes of misdemeanor or county or city vio-lations to include ordinance violations,including such findings or pleas in a sus-pended imposition of sentence, shall makethe applicant or licensee unsuitable to hold anoccupational license: 1) any gambling-relatedoffense; or 2) any offense an essential ele-ment of which is theft, fraud, or dishonesty.Applicants or licensees may be unsuitable tohold an occupational license for convictions,pleas of guilty or nolo contendere, or theentering of an Alford plea for other types ofmisdemeanor or county or city violations toinclude ordinance violations within such five(5)-year period, including such findings orpleas in a suspended imposition of sentence.

(6) The key person/key person business enti-ty employed by suppliers will be required tobe licensed by the Missouri GamingCommission. The supplier key person/keyperson business entity application shallrequire a one (1)-time nonrefundable fee ofone thousand dollars ($1,000) plus the annu-al licensing fee of one hundred dollars($100). The applicant or licensee shall beassessed fees, if any, to cover the additionalcosts of the investigation. The licensing andrenewal fees for Level I and Level II occupa-tional licenses shall be the same as set forthfor Class A and Class B occupationallicensees. Additionally, the executive directormay waive or modify licensing fees.

AUTHORITY: sections 313.004 and 313.805,RSMo 2000.* 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, effec-tive Jan. 31, 1994. Emergency amendmentfiled Dec. 20, 1994, effective Dec. 30, 1994,expired April 27, 1995. Amended: FiledMarch 2, 1995, effective Aug. 30, 1995.Amended: Filed Dec. 7, 1995, effective June30, 1996. Amended: Filed Aug. 30, 1996,effective April 30, 1997. Amended: Filed Jan.21, 1997, effective Aug. 30, 1997. Amended:Filed July 2, 1997, effective Feb. 28, 1998.Amended: Filed May 13, 1998, effective Oct.30, 1998. Amended: Filed Oct. 29, 2001,effective May 30, 2002. Amended: Filed Dec.7, 2001, effective Aug. 30, 2002. Amended:Filed Feb. 24, 2004, effective Oct. 30, 2004.Amended: Filed April 28, 2004, effectiveMarch 30, 2005. Amended: Filed March 21,2006, effective Nov. 30, 2006. Amended:Filed Dec. 3, 2007, effective May 30, 2008.


11 CSR 45-4.380 Occupational and KeyPerson/Key Person Business Entity LicenseApplication and Annual Fees

PURPOSE: This rule establishes license feesfor occupational and key person/key personbusiness entity licensees of Class A and ClassB licensees.

(1) The one (1)-time nonrefundable applica-tion filing fee shall be—

(A) Key person/key person business entity—

1. Class A and B $15,0002. Suppliers $ 1,000

(B) Level I $ 1,000(C) Level II $ 75.

(2) The annual licensing fee shall be—(A) Key person/key person

business entity—1. Class A and B $ 2502. Suppliers $ 100

(B) Level I $ 100(C) Level II $ 50.

(3) A key person/key person business entityor Level I licensee may renew their licenseonly once following each termination of theirassociation with a Class A, Class B or sup-plier licensee.



(4) The applicant or licensee shall beassessed fees, if any, to cover the additionalcosts of the investigation.

(5) The initial annual fee for occupationallicenses shall be due upon the earlier of—

(A) The date that a temporary identifica-tion badge is issued to the applicant;

(B) The date that a permanent identifica-tion badge is issued to the applicant; or

(C) The date that the commission passes aresolution granting the license to the appli-cant.

(6) The initial annual fee for occupationallicenses shall be paid in full to cover the firstyear of licensure. The license expires annual-ly on the last day of the month of issue. Theannual occupational license renewal fee willbe billed to the Class A, Class B or supplierlicensee.

(7) Each occupational license shall expireannually on the last day of the month of issue,but the licensing hearing shall be subject tobeing reopened at any time.

(8) The annual fee for an occupational licenseis nonrefundable and is due regardless ofwhether the renewal applicant obtains arenewed license.

(9) The executive director may waive or mod-ify licensing fees. Exemption shall not beapplicable for testing laboratories.

AUTHORITY: sections 313.004 and313.800–313.850, RSMo 2000 and Supp.2007.* 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, effec-tive Jan. 31, 1994. Amended: Filed June 2,1995, effective Dec. 30, 1995. Amended:Filed March 18, 1996, effective Oct. 30,1996. Amended: Filed Oct. 1, 1996, effectiveApril 30, 1997. Amended: Filed Jan. 21,1997, effective Aug. 30, 1997. Emergencyamendment filed Oct. 4, 2000, effective Oct.14, 2000, expired April 11, 2001. Amended:Filed Oct. 4, 2000, effective April 30, 2001.Amended: Filed May 3, 2001, effective Dec.30, 2001. Amended: Filed Dec. 3, 2007,effective May 30, 2008.

*Original authority: 313.004, RSMo 1993, amended 1994,

and 313.800–313.850 (see Missouri Revised Statutes,2000 and Supp. 2007).

11 CSR 45-4.390 Occupational LicenseRenewal

PURPOSE: This rule establishes the processfor occupational license renewal.

(1) At least sixty (60) days for key person andLevel I licensees and fifteen (15) days forLevel II licensees before the first day of themonth of expiration, each licensee shall filefor renewal on forms provided by the com-mission or authorize a Class A or Class Blicensee to submit an application for renewalon his/her behalf in accordance with 11 CSR45-10.110. Alternatively, each licensee mayfile for renewal as provided in 11 CSR 45-10.110(2).

(2) The director shall have the power torenew any occupational license, provided thatif the director intends not to renew an occu-pational license which the licensee has appro-priately requested to have renewed, the direc-tor shall notify the commission in writing ofhis/her intention not to renew and the reasonsfor his/her decision at least ten (10) daysbefore the license expires.

AUTHORITY: sections 313.004, 313.805 and313.822, RSMo 2000 and section 313.800,RSMo Supp. 2007.* Emergency rule filedSept. 1, 1993, effective Sept. 20, 1993,expired Jan. 17, 1994. Emergency rule filedJan. 5, 1994, effective Jan. 18, 1994, expiredJan. 30, 1994. Original rule filed Sept. 1,1993, effective Jan. 31, 1994. Amended:Filed June 25, 1996, effective Feb. 28, 1997.Amended: Filed July 2, 1997, effective Feb.28, 1998. Amended: Filed Dec. 12, 1997,effective July 30, 1998. Amended: Filed May13, 1998, effective Oct. 30, 1998. Emergencyamendment filed Oct. 4, 2000, effective Oct.14, 2000, expired April 11, 2001. Amended:Filed Oct. 4, 2000, effective April 30, 2001.Amended: Filed Dec. 3, 2007, effective May30, 2008.

*Original authority: 313.004, RSMo 1993, amended 1994;313.800, RSMo 1991, amended 1993, 1994, 2000;313.805, RSMo 1991, amended 1993, 1994, 2000; and313.822, RSMo 1991, amended 1993, 2000.

11 CSR 45-4.400 Occupational LicensureLevels

PURPOSE: This rule establishes occupation-al license levels.

(1) An occupational licensee may performonly the activities approved by the commis-sion for that licensee to perform in his/herlicensed position in the riverboat gamingoperation.

(2) Occupational License Level I includes thefollowing positions or their equivalent:

(A) Internal Audit Manager;(B) Director of Casino Operations;(C) Director of Security; (D) Controller; (E) IT Manager; (F) Slot Department Manager; (G) Surveillance Manager; (H) Assistant General Manager; (I) Table Games Manager;(J) Managers responsible for ensuring the

integrity of all testing standards and certifica-tions; or

(K) Any other person or entity whoengages in an occupation associated in activ-ities regulated under the riverboat gaming actor a riverboat gaming operation and is direct-ed by the commission or its director to file aLevel I application.

(3) Occupational License Level Two (II)includes any of the following positions thatare not required to hold an OccupationalLicense Level One (I):

(A) any position within a Missouri river-boat gaming operation that would require theholder to have access to the excursion gam-bling boat to perform his or her function orduties; provided that agents and nongamingvendors are not considered within occupa-tional license level I or II unless otherwisenotified by the commission;

(B) Any position related to a Missouririverboat gaming operation in one (1) of thefollowing areas: security, surveillance, audit,accounting, MIS, cage, ticketing, hard andsoft count and marine operations;

(C) Any position with a licensed gamingsupplier company that would require theholder to have access to the excursion gam-bling boat to perform his or her function orduties if such function or duties involveinstallation, servicing, maintenance, repair oraccessing secured or locked components ofany gambling equipment or supplies orinvolve verification or payment of patronawards; and

(D) Any other person or entity directed bythe commission or the director to file a LevelII application as an occupational licenseeapplicant.

AUTHORITY: sections 313.004 and 313.805,RSMo 2000.* 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, effec-tive Jan. 31, 1994. Emergency amendmentfiled March 2, 1995, effective March 12,1995, expired July 9, 1995. Amended: FiledMarch 2, 1995, effective Aug. 30, 1995.Amended: Filed May 13, 1998, effective Oct.


Secretary of State


30, 1998. Amended: Filed Dec. 7, 2001,effective June 30, 2002. Amended: Filed Dec.3, 2007, effective May 30, 2008.

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

11 CSR 45-4.410 Identification BadgeRequirements

PURPOSE: This rule establishes require-ments for identification badges.

(1) All employees and occupational licenseesother than key person/key person businessentity licensees shall at all times while per-forming the functions of their positions dis-play on their person in a clearly visible man-ner a valid, riverboat-issued, casino accessbadge, unless a waiver has been granted inwriting for a particular job function. No casi-no access badge granting access to any river-boat gaming operation may be held by anyperson unless that person has been authorizedfor such access by the Class A or Class Bapplicant or licensee of the riverboat gamingoperation for which the badge is to be issued.Each Class A or Class B applicant or licenseemust notify the commission that such autho-rization has been granted before any identifi-cation badge may be issued to the person.Each Class A or Class B applicant or licenseemust notify the commission within ten (10)days if any such authorization has beenrevoked.

(2) The casino access badge shall—(A) Be of a color selected by the riverboat

gaming operation for use on all casino accessbadges utilized by occupational licensees;

(B) Be a three and three-eighths by two andone-eighth-inch (3 3/8" × 2 1/8") card bear-ing on the front side the name and logo of theriverboat gaming operation;

(C) Provide a base for a one-inch by oneand one-fourth-inch (1" × 1 1/4") photo-graph on the front side;

(D) Provide a space for a six (6)-digit num-ber at least one-fourth inch (1/4") in heighton the front side;

(E) Display the employee’s first name ornickname and job title on the front side;

(F) Provide on the reverse side a line forthe employee’s full name and date of birth;and

(G) Provide a space for color coded back-grounds for use around the occupational fieldor title on the front side as follows:

1. Solid white—non-casino occupations:all Level II or higher personnel whose jobresponsibilities do not require access insidethe casino turnstiles or to other gaming areas,

including but not limited to, cages and countrooms;

2. Solid green—surveillance occupa-tions: all personnel whose job responsibilitiesinclude the operation, maintenance, andinstallation of surveillance equipment and thesupervision of those surveillance personnel;

3. Solid red—security and guest safetyoccupations: all personnel whose job respon-sibilities include the security of the casinofacilities, safety of customers and employees,rendering of medical aid and supervision ofsecurity personnel;

4. Red diagonal stripes—gaming occu-pations: all personnel whose job responsibil-ities are directly related to conducting a gam-bling game or the repair of a gaming relateddevice, including but not limited to, cagedepartment employees, casino operationsemployees, count department employees, rev-enue audit employees, slot departmentemployees, and table game departmentemployees;

5. Solid blue—non-gaming occupations:all personnel whose job responsibilitiesrequire access inside the casino turnstiles butare not directly related to gaming activitiesand not handling chips or tokens, includingbut not limited to, environmental services orhousekeeping employees; food and beverageemployees; maintenance, marine operationsor boat operations employees; retail employ-ees, ticketing employees; and

6. Red horizontal stripes—other non-gaming occupations including but not limitedto non-gaming personnel responsible for cler-ical duties requiring limited access to thegaming pits and other non-gaming areas forthe purposes of, for example, player trackingor other marketing duties; the installation,operation, or repair of information systemsequipment; pit clerks; pit administrators;table games assistants; marketing; and allinformation systems personnel and relatedsupervisors.

(3) Casino access badges are not transferableand upon resignation or termination ofemployment, an identification badge must bereturned by the occupational licensee to theholder of a Class A license or to the com-mission. If returned to the holder of a ClassA license, the holder must then return thebadge to the commission.

AUTHORITY: sections 313.004 and 313.850,RSMo 2000 and section 313.800, RSMoSupp. 2007.* 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, effec-

tive Jan. 31, 1994. Amended: Filed June 2,1995, effective Dec. 30, 1995. Amended:Filed Jan. 21, 1997, effective Aug. 30, 1997.Amended: Filed May 13, 1998, effective Oct.30, 1998. Amended: Filed Dec. 7, 2001,effective June 30, 2002. Amended: Filed Dec.3, 2007, effective May 30, 2008.

*Original authority: 313.004, RSMo 1993, amended 1994;313.800, RSMo 1991, amended 1993, 1994, 2005; and313.850, RSMo 1993.

11 CSR 45-4.420 Occupational License

PURPOSE: The commission proposes to pro-vide for a commission-issued occupationallicense badge distinct from riverboatlicensee-issued casino access badges.

(1) Occupational licensees other than keyperson/key person business entity licenseesshall at all times while performing the func-tions of their positions display in a clearlyvisible manner, a valid, commission-issuedoccupational license badge.

(2) Upon the filing of an application for anoccupational license, the director may issue atemporary occupational license to allow anapplicant to perform the function for whichthe applicant has applied. The director maywithdraw or suspend this temporary occupa-tional license by withdrawing the holder’soccupational license badge upon a determina-tion to seek denial of licensure by the com-mission and on so doing report this action tothe commission, the Class A licensee whoemployed the applicant, and the applicant.

(3) Upon issuance of an occupational licenseto applicant, applicant shall receive a partial-ly completed occupational license badge fromthe commission.

(4) Whenever an occupational license badgeshall be lost or destroyed, a duplicate occu-pational license badge in lieu of the lost ordestroyed occupational license badge will beissued by the commission. The fee for areplacement occupational license badge is fif-teen dollars ($15). Application for a dupli-cate occupational license badge shall be byaffidavit of the licensee which shall setforth—

(A) The date upon which the occupationallicense badge was lost or destroyed;

(B) The circumstances under which theoccupational license badge was lost ordestroyed; and

(C) A request that a duplicate occupation-al license badge be issued.




Secretary of State


AUTHORITY: sections 313.004 and 313.850,RSMo 2000 and section 313.800, RSMoSupp. 2007.* Original rule filed May 13,1998, effective Oct. 30, 1998. Amended:Filed Dec. 7, 2001, effective June 30, 2002.Amended: Filed Dec. 3, 2007, effective May30, 2008.

*Original authority: 313.004, RSMo 1993, amended 1994;313.800, RSMo 1991, amended 1993, 1994, 2005; and313.850, RSMo 1993.

11 CSR 45-4.430 Waiver of Requirements

PURPOSE: This rule establishes process forwaiver of requirements.

(1) The commission may waive any licensingrequirement or procedure for any type oflicense if it determines that the waiver is inthe best interests of the public.

(2) Notwithstanding any other provisions of11 CSR 45, if a licensee owns or operatestwo (2) or more riverboat gaming operationsthat are adjacent, the commission may, in itsdiscretion, waive any regulatory requirementapplicable to such operations to allow thelicensee to combine functions of the opera-tions, including, but not limited to, allowingoccupational licensees to perform licensedfunctions on any of the adjacent operations.

AUTHORITY: sections 313.004 and 313.805,RSMo 1994.* 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, effec-tive Jan. 31, 1994. Emergency amendmentfiled Dec. 20, 1994, effective Dec. 30, 1994,expired April 27, 1995. Amended: Filed Jan.21, 1997, effective Aug. 30, 1997.


11 CSR 45-4.440 Possession of GamingEquipment by Applicants

PURPOSE: This rule establishes proceduresfor bringing gaming equipment into the state.

(1) Any applicant who has been selected bythe commission for investigation, may applyto the commission for permission to possessgaming equipment in Missouri under any ofthe following situations:

(A) When an applicant wishes to partici-pate in the operation of a training school or to

a joint venture with a Missouri junior collegeor proprietary or vocational school, to trainpotential workers for the Missouri gamingindustry; or

(B) When an applicant wishes to transportgaming equipment into the state for trainingor the equipping of an excursion gamblingboat or floating facility; or

(C) When an applicant wishes to transportan excursion gambling boat, riverboat orfloating facility containing gaming equipmentto a dock site or other point in the state ofMissouri prior to the commission deciding ifa license will be issued; or

(D) When an applicant wishes to open ashowroom to display gaming equipment forsale.

(2) The commission may grant permission forthe applicant to possess gaming equipmentproviding the commission finds the follow-ing:

(A) The applicant has filed an internal con-trol document with the commission that indi-cates the precautions being taken to ensurethe gaming equipment will not be used forany illegal purposes and, when not requiredto be used, the gaming equipment is made asinoperable as is practical; and

(B) The applicant has executed any waiveror agreement that may be required by thecommission; and

(C) Any other restriction or condition thecommission considers necessary to ensurethat the gaming equipment will not be usedfor any illegal purposes.

(3) If the commission grants the permissionto possess gaming equipment, the applicantmust supply detailed information about theequipment and its expected storage locationprior to the equipment entering Missouri.The commission shall have the right toinspect the equipment before transporting,upon arrival, or any other time, such inspec-tion to be paid for by the applicant. The pos-session of gaming equipment in Missouripursuant to authority granted by the commis-sion under this section shall be consideredlicensed activity under section 572.070,RSMo.

(4) The commission may withdraw its grantof permission at any time when the commis-sion determines that the best interests of thestate of Missouri require such action.

(5) Use of the gaming equipment authorizedunder this section in a manner other than thatset forth will result in the imposition of anypenalties the commission has the power to

assess by law, which may include the appli-cant being permanently denied any type ofgaming license.

AUTHORITY: section 313.004, RSMo 1994.*Emergency rule filed Oct. 29, 1993, effectiveNov. 8, 1993, expired March 2, 1994.Emergency rule filed May 22, 1995, effectiveJune 1, 1995, expired Sept. 28, 1995.Original rule filed May 22, 1995, effectiveDec. 30, 1995. Amended: Filed July 2, 1997,effective Feb. 28, 1998.

*Original authority: 313.004, RSMo 1991, amended 1993.

11 CSR 45-4.500 Junket, Junket Enter-prises, Junket Representatives—Defini-tions

PURPOSE: This rule establishes terms anddefinitions applicable to junkets.

(1) The following words and terms, whenused in this chapter, shall have the followingmeanings unless the context clearly indicatesotherwise.

(A) “Agent” means any person, including ajunket representative, junket enterprise, oremployee thereof acting as a junket represen-tative, acting directly or indirectly on behalfof a Class A or Class B licensee or its affili-ate.

(B) “Applicable laws” means all thoseapplicable existing and future statutes, laws,rules, regulations, orders, permits, codes,authorizations, building regulations, zoninglaws, ordinances, and all other requirementsof any governmental authority.

(C) “Business day” means Mondaythrough Friday, excluding federal and stateholidays.

(D) “Compensation” means any form ofremuneration whatsoever, including, but notlimited to, the payment of cash, the forgive-ness or forbearance of a debt, or the direct orindirect provision of a product, service, oritem without charge or for less than fullvalue.

(E) “Complimentary” means a service,item, or accommodation provided to a personat no cost, or at a reduced price not general-ly available to the public under similar cir-cumstances; provided, however, that the termshall include any service, item, or accommo-dation provided to a person at a reduced pricedue to the anticipated or actual gamblingactivities of that person.

(F) “Governmental authority” means anyfederal, state, county, and/or municipal gov-ernment or quasi-governmental entity oragency, whether now in existence or enactedhereafter, which maintains jurisdiction overthe subject matter of any agreement executed

by and between a Class A or Class B licenseeand a junket enterprise or junket representa-tive or the parties thereto.

(G) “Junket” means an arrangement madeby and between a junket enterprise or junketrepresentative and a Class A or Class Blicensee the purpose of which is to induce anyperson, selected or approved for participationtherein on the basis of the person’s ability tosatisfy a financial qualification obligationrelated to the person’s ability or willingnessto gamble or on any other basis related to theperson’s propensity to gamble to come to aClass B licensee’s premises for the purposeof gambling and pursuant to which, and asconsideration for which, any or all of the costof transportation, food, lodging, and enter-tainment for said person is directly or indi-rectly paid by a licensee or employee or agentthereof.

(H) “Junket enterprise” means any personor entity, other than the holder of a Class Aor Class B license, who employs or otherwiseengages the services of a junket representa-tive in connection with a junket to a Class Blicensee’s premises.

(I) “Junket representative” means any per-son who negotiates the terms of, engages inthe referral, procurement, or selection of per-sons who may participate in a junket to aClass B licensee’s premises. A Class A orClass B licensee’s employee who holds acommission-issued occupational license or aClass A licensee’s employee who receives nocompensation either directly or indirectlyfrom a junket enterprise or junket representa-tive whether or not said junket enterprise orjunket representative holds a commission-issued license, and who performs the func-tions of a junket representative for the ClassA or Class B licensee by which employed isnot deemed a junket representative.

(J) “Theoretical win” means a Class Blicensee’s estimated win per customer basedupon the customer’s rated table and/or slotgaming activity. Table game theoreticalequals average bet × length of gaming activ-ity × decisions per hour × house advantage.Electronic gaming device (slot machine) the-oretical equals coin or cash in × machinehold percentage.

AUTHORITY: sections 313.004 and 313.807,RSMo 2000 and section 313.805, RSMoSupp. 2009.* Original rule filed Aug. 3,2009, effective March 30, 2010.


11 CSR 45-4.510 Junket Enterprise;Junket Representative—Licensing Require-ments

PURPOSE: This rule establishes generalrequirements applicable to junket enterprises.

(1) A junket enterprise shall have applied forand been granted a commission-issued sup-plier’s license prior to a Class B licensee per-mitting a junket involving that junket enter-prise to arrive at its licensed premises. A jun-ket enterprise shall be considered “involved”in a junket to a Class B licensee’s premises ifit receives any compensation whatsoeverfrom any person as a result of the conduct ofthe junket. A Class B licensee may notengage the services of any junket enterprisewhich is not the holder of a commission-issued supplier’s license.

(2) A junket enterprise supplier licensee shallnot employ or otherwise engage the servicesof a junket representative unless said repre-sentative holds a commission-issued occupa-tional license.

(3) A person may not act as a junket repre-sentative in connection with a junket to aClass B licensee unless the person holds acommission-issued occupational license andis employed by a junket enterprise that is theholder of a commission-issued supplier’slicense.

(4) Junket enterprise employees and junketrepresentatives required to hold commission-issued key person or occupational licensesshall, at all times when on the premises of aClass B licensee performing the duties andfunctions for which licensed, have on theirperson their valid commission-issued occupa-tional license badge and present said licenseupon the request of any agent of the commis-sion or casino licensee.

(5) Junket enterprises, their employees, andjunket representatives required to hold a com-mission-issued supplier’s, key person, oroccupational license shall comply with allrequirements of section 313.800, et seq.RSMo, as amended from time-to-time, and11 CSR 45-1, et seq., as amended from time-to-time, hereinafter known as the RiverboatGaming Act, unless the context of such clear-ly indicates otherwise.



11 CSR 45-4.520 Junket Arrangements—Criteria by Which Patrons SelectedDeterminant of Junket

PURPOSE: This rule establishes criteriaused to select patrons are determinate ofwhether or not an arrangement constitutes ajunket.

(1) A person may be selected or approved toparticipate as a junket patron on the basis ofone (1) or more of the following:

(A) The ability to satisfy a financial quali-fication obligation related to the person’sability or willingness to gamble, which shallbe deemed to occur whenever a person, as anelement of the arrangement, is required toperform one (1) or more of the following:

1. Establish a customer deposit with aClass B licensee;

2. Demonstrate to a Class B licensee theavailability of a specified amount of cash orcash equivalent;

3. Gamble to a predetermined level atthe Class B licensee’s facility; or

4. Comply with any similar obligation;and/or

(B) The propensity to gamble, which shallbe deemed to occur whenever a person hasbeen selected or approved on the basis of one(1) or more of the following:

1. The previous satisfaction of a finan-cial obligation in accordance with the provi-sions of subsection (1)(A) of this rule; or

2. An evaluation that the person has atendency to participate in gambling activitiesas the result of—

A. An inquiry concerning the per-son’s tendency to gamble; or

B. Use of other means of determiningthat the person has a tendency to participatein gambling activities.

(2) A rebuttable presumption that a personhas been selected or approved for participa-tion in an arrangement on a basis related tothe person’s propensity to gamble shall becreated whenever the person is provided, aspart of the arrangement, with one (1) or moreof the following:

(A) Complimentary accommodations; or(B) Complimentary food, entertainment,

or transportation which has a value of twohundred dollars ($200) or more.





11 CSR 45-4.530 Junket Enterprise; JunketRepresentative; Agents; Employees—Policies and Prohibited Activities

PURPOSE: This rule establishes prohibitedactivities applicable to junket enterprises,junket representatives, and the agents andemployees thereof.

(1) A junket enterprise, junket representative,or agent or employee thereof, shall not—

(A) Be compensated on any basis otherthan theoretical win unless specificallyapproved in writing by the commission;

(B) Engage in collection efforts;(C) Solicit, receive, or accept any fee or

service charge, or solicit any gratuity from apatron for the privilege of participating in ajunket or for the performance of the functionsfor which licensed;

(D) Pay for services, including transporta-tion or other items of value, provided to orfor the benefit of any patron participating in ajunket, unless disclosed in writing to theClass B licensee for which the junket wasarranged;

(E) Extend credit to or grant credit onbehalf of a Class A or Class B licensee to apatron participating in a junket;

(F) Accept an advance of money or a loanfrom any patron participating in a junket;

(G) Conduct themselves in a manner thatcompromises the integrity of gaming inMissouri, tarnishes the image and reputationof the state of Missouri, or reflects poorly onthe Missouri Gaming Commission or anylicensee thereof;

(H) Conduct advertising and public rela-tions activities in a manner other than withdecency, dignity, good taste, and honest andfair representation; or

(I) Cater to, assist, employ, or associatewith, either socially or in business affairs,persons of notorious or unsavory reputationor who have felony police records or theemploying either directly through a contractor other means, of any firm or individual inany capacity where the repute of the state ofMissouri or the gaming industry is liable tobe damaged because of the unsuitability ofthe firm or individual.

(2) A junket representative may not beemployed by more than one (1) junket enter-prise at a time. For the purposes of this chap-ter, to qualify as an employee of a junketenterprise, a junket representative shall—

(A) Receive all compensation for servicesas a junket representative within this statethrough the payroll account of the junketenterprise; and

(B) Exhibit other appropriate indicia ofgenuine employment, including federal and

state tax withholdings.



11 CSR 45-4.540 Junket—Agreements,Schedules, and Final Reports

PURPOSE: This rule establishes require-ments for junket agreements, schedules, andreports to be filed and maintained by Class Blicensees.

(1) Junket Agreements.(A) Every agreement entered into by and

between a Class A or Class B licensee and ajunket enterprise or junket representative forjunket services shall be in writing, a signedand executed copy of which shall be filedwith the commission prior to any junketbeing scheduled to arrive at a Class Blicensee’s premises.

(B) Every agreement shall include the fol-lowing conditions:

1. If, at any time, either prior to or sub-sequent to the initiation of the agreement, thecommission disapproves the terms and condi-tions of the agreement, denies the licenseapplication of the junket enterprise or junketrepresentative for any applicable license, orotherwise determines the junket enterprise orjunket representative to be unsuitable for anyreason, the agreement shall be deemed termi-nated as of the date of such disapproval,denial, or determination as though such datewere the date originally fixed for terminationof the agreement;

2. The junket enterprise or junket repre-sentative shall at all times maintain in goodstanding and effect all necessary and properbusiness licenses and other licenses and per-mits relating to its business operations; and

3. Junket enterprise or junket represen-tative represents and warrants that its serviceswill comply with all applicable laws.

(2) Junket schedules shall be—(A) Prepared by a Class B licensee for

each junket that is arranged through a junketenterprise or its junket representative;

(B) Filed with the commission by a ClassB licensee by the fifteenth day of the monthpreceding the month in which the junket isscheduled to arrive at the Class B licensee’spremises. If a junket is arranged after the fif-teenth day of the month preceding the arrival

of the junket, an amended schedule shall befiled by the Class B licensee by the close ofthe next business day after the junket is soarranged; and

(C) Prepared and signed by an employee ofthe Class B licensee and shall include the fol-lowing:

1. The origin of the junket;2. The estimated number of participants

in the junket or the number of seats blocked;3. The anticipated arrival time and date

of the junket;4. The anticipated departure time and

date of the junket; and5. The name and license number of all

junket representatives and the name andlicense number of all junket enterprisesinvolved in the junket.

(3) Junket final reports shall—(A) Be prepared by a Class B licensee for

each junket engaged in or on its premises forwhich the Class B licensee was required toprepare a junket schedule;

(B) Include a junket manifest listing thenames and addresses of the junket partici-pants;

(C) Include information required under“Junket Schedules” that has not been previ-ously provided to the commission in a junketschedule pertaining to a particular junket, oran amendment thereto;

(D) Include the actual amount of compli-mentary services, accommodations, anditems provided to each junket participant;

(E) Include the total amount for services orother items of value provided to or for thebenefit of a patron participating in the junketwhich were paid for by the junket enterprise,junket representative, or agent or employeethereof and disclosed in writing to the ClassB licensee in compliance with 11 CSR 45-4.530;

(F) Be prepared and signed by an employ-ee of the Class B licensee; and

(G) Be prepared within seven (7) days ofthe completion of the junket, maintained incompliance with 11 CSR 45-8.040, and madeimmediately available to the commissionupon request.




Secretary of State


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