License, form, date
. No individual, partnership or corporation
shall hold or conduct any meeting
within Connecticut at which thoroughbred
racing is permitted for any purse
, stake or reward and where pari-mutuel
wagering is conducted unless such individual, partnership or corporation is
licensed by the commission
as provided in these regulations.
(1) Applications for a license shall be made
on forms supplied by the commission and shall be filed with the executive
secretary of the commission on or before a day to be fixed by the
(2) Each applicant
shall file such forms as may from time to time be required by the
Licensing new applicants
. In granting a license to any new
the commission will consider the following matters:
(1) Opportunity for the sport to develop
(2) Extent of community
support for the promotion and continuance of the track.
(3) The character and reputation of the men
identified with the undertaking.
(4) Financial ability of the applicant to
promote a facility.
(5) The type
and quality of the facility proposed.
The possible avoidance of competition
with other established pari-mutuel facilities in Connecticut, if applicable.
The commission may reject any application for a license for any
cause which it deems sufficient.
Corporations. All corporate
applicants shall be Connecticut corporations or corporations authorized to do
business in Connecticut. It shall file with the commission along with its
application, the names, addresses, dates and places of birth and social
security numbers of the officers and directors, the date of incorporation, and
a copy of the original certificate of incorporation and of any amendments; a
statement giving the names, addresses, dates and places of birth and social
security numbers of all its stockholders and the number of shares registered in
the name of each and shall likewise file revised statements giving such
information from time to time as changes occur; and if any shares be registered
in the name of a corporation or in the name or names of one or more persons as
trustees or otherwise for a corporation, the applicant shall, at the same time
and in the same manner, furnish a similar statement with respect to the
stockholders of such corporation. In the case of publicly owned corporations,
provisions of this rule may be waived at the discretion of the
Partnerships. If the applicant is a partnership, it shall file
with the commission, along with its application, the names, addresses, dates
and places of birth and social security numbers of all the partners, general or
limited, and the percentage of ownership of each and shall likewise file
revised statements giving such information from time to time as changes occur,
and if one or more of the partners be a corporation, shall comply with the
provisions of rule (c) of this section.
Individuals. If the
applicant is an individual, he shall file with the commission, along with his
application, his name, address, date and place of birth and social security
. No change of ownership of an association
shall be made
without prior written approval of the commission except changes effected by a
court of competent jurisdiction which shall be treated, for the purposes of
this sub-section, in the same manner as stock transfers of publicly owned
corporations. In the case of publicly owned corporations, the provisions of
this rule shall be waived by the commission upon the following conditions:
(1) The association shall inform the
commission of all changes in stock ownership, including the names and addresses
of the record owner of the stock, within a period of time from the date of said
transaction as shall be determined by the commission.
(2) The association shall use its best
efforts to provide the commission with such information pertaining to the new
stockholders as the commission shall request.
(3) If the association is unable to provide
the commission with any information requested pursuant to the above conditions,
or if the commission determines, after a security check of the new stockholder,
that the stockholder is a person whose character and reputation are such that
the commission deems that person may be detrimental to the best interests of
the State of Connecticut and/or thoroughbred racing in the State of
Connecticut, the association must take such that Meet a divestiture of the
stock in question within a reasonable time after receipt of the commission's
order to do so and shall inform the commission that a divestiture has occurred
by such date as shall be determined by the commission.
(4) The association shall take such steps
that may be necessary to insure that no transfers of stock take place which are
not reported to the commission.
Failure to adhere to any of the above conditions (1) (2) (3) (4) may be cause
for revocation of the association's license.
application, if made by an individual, shall be signed and verified under oath
by such individual, and, if made by two (2) or more individuals or a
partnership, shall be signed and verified under oath by all of the individuals
or by all of the members of the partnership, whether general or limited, as the
ease may be. If the application is made by a corporation, it shall be signed by
an officer of the corporation duly authorized by the board of directors and
shall affix to the application a certified copy of the minutes or resolution of
the board of directors specifically authorizing that officer to sign the
application for the corporation. The seal of the corporation shall be affixed
to the application and to the certified copy of the minutes or
racing plant. A license shall not be issued to an applicant if the
applicant leases the land and/or buildings for its facility, and the lessor is
an individual, partnership or corporation, who would be unable to secure a
license to conduct a meeting from the commission pursuant to rule (b) (3) of
this section. If the applicant's racing plant or any part thereof, including
land and/or buildings, is leased, the applicant shall furnish the name,
address, date and place of birth and social security number of the owner, or if
the owner be a corporation, the names, addresses, dates and places of birth and
social security numbers of the officers, directors and stockholders thereof. No
license shall be granted to an applicant who fails to submit such information
to the commission as the commission may request from time to time. Failure to
report changes in the lessor's ownership, and failure to obtain commission
approval thereof may be cause for revocation of license. All associations shall
observe the requirements of this rule. In the case of lessors who are publicly
owned corporations the provisions of this rule may be waived at the discretion
of the commission.
Fingerprints, photograph. Each applicant including partner,
officer and director shall have their fingerprints and photograph taken by the
commission before any license is issued. Every stockholder of an applicant
shall comply with this rule. In the case of publicly owned corporations, the
provisions of this rule may be waived at the discretion of the
. All applicants for a license shall submit on, or
as a part of their application:
number and actual period of days ( Sundays excluded), the hours of each racing
day, the number of races on a day's program and the post time for the first
race, which the applicant desires for a thoroughbred meeting.
(2) The estimated cost of the racing plant to
be constructed and a general description of such plant.
(3) A description of the site of the proposed
racing plant, including its acreage.
(4) A statement of the plan of financing of
the racing plant and if arrangements have been made for the flotation of
securities, the name and address of the person or firm with whom such
arrangements and terms have been made.
(5) General specifications, surveys, studies
and analyses by competent and qualified experts shall be furnished to the
commission to ascertain such factors as proposed attendance, traffic flow,
income, or any and all other matters necessary for the commission to make a
determination with respect to the matter of the application. The commission
reserves the right to reject inadequate or unsatisfactory specifications or to
demand additional information and specifications from the applicant.
(6) The written verification of the building
and zoning officer of the municipality where the racing plant is proposed to be
built that the erection of a thoroughbred racing plant in that locality as to
all particulars is not in violation of any local ordinance or zoning
(7) Such other
information and requirements as the commission may deem proper.
granting of a license to an association by the commission for the first time
shall be conditioned upon the association furnishing, at its expense, such data
as the commission shall require to enable it to carry out fully and effectually
all of the provisions and purposes of the act which may include, but shall not
be limited to, the following: A map or plan of its racetrack and plant, drawn
to such reasonable scale as may be required, showing all structures, piping,
fire hydrants and other fixed equipment thereon, with dimensions and nature of
construction duly noted thereon, and a plan of the racing strip; and when any
material changes are made therein, a similar map or plan showing such changes
and drawn to the same scale, shall be forthwith filed with the commission. The
blueprints and specifications shall be subject to the approval of the
commission, which, at the expense of the applicant, may order such engineering
examination thereof as to the commission seems necessary. The erection and
construction of the track, grandstand and buildings of any association shall be
subject to the inspection of the commission. The commission may employ such
inspectors, at the expense of the applicant, as it considers necessary for that
standards. The plans and specifications of an applicant for a license
must meet all the standards enumerated in the uniform building code and the
uniform fire code of the state of Connecticut, any and all standards of the
municipality in which the applicant proposes to build its racing plant, and any
other standards that the commission, in its discretion, may
license. Any license granted to an association shall be subject to all
rights, regulations and conditions from time to time prescribed by the
Renewals. A license granted shall be renewed from year to year
pursuant to these regulations upon application by an association for racing
dates and filing of any such forms requested by the commission with the
executive secretary of the commission by such date as shall be determined by
the commission. In acting on renewal applications, the commission shall
consider the requirements specified in rules b (3) and b (4) of this
. The commission
may revoke the license or fail to renew the
license of an association
after a hearing for any one of the following reasons:
(1) If it makes any false statement in any
form it files with the commission.
If a transfer in ownership is made which
has not been approved by the commission
, subject to the provisions of Section
of these rules
(3) If the
association fails to meet its financial obligations.
(4) If it materially violates the rules and
regulations of the commission.
If there has been a material change in the character and reputation of the men
identified with the undertaking.
(6) If it fails to conduct racing with
pari-mutuel betting during any day of its meeting without sufficient cause
Non-transferable. No license shall be transferable or assignable
in any manner or in any particular without the prior written approval of the
Any change in the
information required to be reported to the commission
shall be reported to the commission
by an association
as it occurs. In the case
of publicly owned corporations, provisions of this rule may be waived at the
discretion of the commission.