13 Miss. Code. R. 2-1.3 - Licenses And Other Commission Action

(a) Gaming License. A license which authorizes the holder to operate a gaming establishment. A gaming license is granted for a period of no longer than three (3) years from the date of issue. A gaming license may be granted for a period of less than three (3) years within the discretion of the Commission. At the expiration of a license, if the Commission is satisfied, after careful review of the licensees current report, verified by the affidavit of an officer of the licensee, that there has been no substantial change in the information provided in the application for the initial license, the Commission may, upon receipt of all prescribed fees and cost, continue the license for a period no longer than three (3) years. No more than two (2) continuances may be granted for each license and any continuance of a license is subject to the Commissions power to revoke, suspend, condition or limit as if it were the initial license.

(b) Manufacturer's License. A license which authorizes the holder to manufacture, assemble, or modify any gaming device in the State of Mississippi or for use or play in Mississippi. A manufacturers license is granted for a period of no longer than three (3) years from the date of issue. A manufacturers license may be granted for a period of less than three (3) years within the discretion of the Commission. At the expiration of a license, if the Commission is satisfied, after careful review of the licensees current report, verified by the affidavit of an officer of the licensee, that there has been no substantial change in the information provided in the application for the initial license, the Commission may, upon receipt of all prescribed fees and cost, continue the license for a period no longer than three (3) years. No more than two (2) continuances may be granted for each license and any continuance of a license is subject to the Commissions power to revoke, suspend, condition or limit as if it were the initial license.

(c) Distributor's License. A license which authorizes the holder to lend, lease, sell, give, or distribute in any other manner any gaming device in the State of Mississippi or outside the State of Mississippi for use or play in Mississippi. A distributors license is granted for a period of no longer than three (3) years from the date of issue. A distributors license may be granted for a period of less than three (3) years within the discretion of the Commission. At the expiration of a license, if the Commission is satisfied, after careful review of the licensees current report, verified by the affidavit of an officer of the licensee, that there has been no substantial change in the information provided in the application for the initial license, the Commission may, upon receipt of all prescribed fees and cost, continue the license for a period no longer than three (3) years. No more than two (2) continuances may be granted for each license and any continuance of a license is subject to the Commissions power to revoke, suspend, condition or limit as if it were the initial license.

(d) Registration. A commission action which authorizes an entity to be a holding company with respect to another entity which holds or applies for a state gaming license.

(e) Other Licenses Or Findings Of Suitability. The Act and these regulations require or permit the Commission to require that certain persons directly and actively involved in the administration or supervision of the gaming activities of gaming licensees be found suitable to hold a gaming license so long as that involvement continues.

1. The following persons shall apply for a finding of suitability and must be found suitable by the Commission in order to be involved with a licensee:

i. each person who serves as Chairman of the Board of Directors of any corporation, public or private, licensed or registered by the Commission; and

ii. each person who has a vote on any issue before the Board of Directors of any corporation, public or private, licensed or registered by the Commission and who is also an employee of the corporation or any of its subsidiaries.

2. The following persons shall apply for a finding of suitability and may be found suitable by the Commission after review of the application:

i. each person who serves as the Chairman of the audit or compliance committees of any corporation, public or private, licensed or registered by the Commission, and

ii. any executive, employee, or agent of a gaming licensee that the Commission determines as having the power to exercise a significant influence over decisions concerning any part of the operation of a gaming licensee.

3. Whenever it is the judgment of the Commission that the public interest and the policies set forth in the Act will be served by requiring any employee to be found suitable, the Commission shall serve notice of such determination upon the licensee. The Commission shall not be restricted by the title of the job performed but shall consider the functions and responsibilities of the person involved in making its decision as to suitability status. Examples shall include, but are not limited to, persons acting in the capacity of a property level general manager, assistant general manager, or executive level personnel actively and directly engaged in the administration or supervision of the activities of a licensee. Grounds for requiring suitability of an executive, employee or agent which are deemed to serve the public interest and the policies of the Act include but are not limited to the following:

i. the individual is new to the industry, to the particular gaming establishment, or the position, and has significant influence and control and the Commission has little or outdated information concerning his or her character, background, reputation or associations; or

ii. information has been received by the Commission which, if true, would constitute ground for a finding of suitability to be associated with a gaming enterprise.

4. The licensee shall, within thirty (30) days of placing an employee into a position as described above shall present notification to the Executive Director who shall inform the licensee whether the application for a finding of suitability is necessary. Failure of the licensee to respond as required by this section shall constitute grounds for disciplinary action.

5. Any individual whose application for finding of suitability is required pursuant to this regulation may request the Commission in writing to review its determination of that individuals status within the gaming organization any time within ten (10) days following the filing of a completed application as required by this regulation. In the event the Commission determines that the applicant is not required to be found suitable or that the public interest and policies of the Act do not require the finding of suitability of the individual at the time, then the applicant shall be allowed to withdraw his application and he may continue in his employment.

6. An applicant for a finding of suitability has the burden of proving his qualification to receive and maintain a finding of suitability pursuant to Mississippi Code Annotated § 75-76-67. If the nature of the job changes from that for which the applicant is found suitable, he may be required to submit himself to a new determination of his suitability.

7. A finding of suitability is granted for a period of no longer than ten (10) years from the date of issue. A finding of suitability may be granted for a period of less than ten (10) years within the discretion of the Commission.

i. A holder of a finding of suitability must file with the Investigations Division of the Commission the Investigations Division Annual Report, providing all information requested on forms provided by the Commission, and any other information requested by the Executive Director. Such Investigations Division Annual Report shall be due by June 30^th of each year, with the exception of the calendar year the license is granted.

ii. A holder of a finding of suitability shall immediately inform the Commission of any arrest or conviction.

(f) Any executive, employee, or agent of a gaming licensee who is listed or should be listed in the annual employee report may be required to apply for a finding of suitability at the direction of the Commission.

(g) Approvals. The Mississippi Gaming Control Act and these regulations require commission approval for certain acts of licensees or transactions directly or indirectly involving licensees. Such approvals by themselves do not constitute the licensing or a finding of suitability of any person involved, but merely an approval for the particular transaction involved. The Executive Director shall have complete discretion in determining whether to grant prior approval for a contract or agreement which would otherwise be prohibited under Miss. Code Ann. § 75-76-61(5), or an employment relationship which would otherwise be prohibited under Miss. Code Ann. § 75-76-61(6). Notwithstanding the foregoing, however, no such prior approval shall be granted unless the Commission has previously given unanimous approval of the contract, agreement or employment relationship.

(h) Gaming Site Approval and Approval to Proceed with Development. The Commission may, in its discretion, grant approval of gaming sites. The Commission has divided the approval process into two separate phases:

1. Gaming site approval; and

2. Approval to proceed with development.

Notes

13 Miss. Code. R. 2-1.3

Miss. Code Ann. § 75-76-63