(a) Prior to
accepting any nonpari-mutuel wager in excess of $10,000 or making a payout in
excess of $10,000 on a nonpari-mutuel winning wager the book shall:
1. Obtain the patron's name;
2. Obtain or reasonably attempt to obtain the
patron's permanent address and social security number;
3. Obtain one of the following identification
credentials from the patron;
i. Driver's
license;
ii. Passport;
iii. Non-resident alien identification
card;
iv. Other reliable government
issued identification credentials; or
v. Other picture identification credential
normally acceptable as a means of identification when cashing checks; and
4. Examine the
identification credential obtained to verify the patron's name, and to the
extent possible, to verify the accuracy of the information obtained pursuant to
paragraph (2).
(b)
Subsequent to accepting a nonpari-mutuel wager in excess of $10,000 or making a
payout in excess of $10,000 on a nonpari-mutuel winning wager the book shall
record or maintain records that include:
1.
The patron's name;
2. The patron's
address;
3. The patron's social
security number;
4. A description
including any document number of the identification credential examined (or
credential information on file for known patrons);
5. The amounts of the wager and payout on the
wager;
6. Window numbers or other
identification of the locations where the wager and payout on the wager
occurred;
7. The times and dates of
the wager and payout on the wager;
8. The names and signatures of the book
employees accepting or approving the wager and payout on the wager; and
9. Any other information as
required by the Executive Director.
A book shall not implement alternative procedures to comply
with this subsection without the written approval of the Executive Director.
(c) As used in
this section, a "known patron" means an individual patron known to the book
employees accepting the wager and paying the winning wager, for whom the
licensee has previously obtained the patron's name and valid identification
credential, and with respect to whom the licensee has on file and updates, at
least every three years, all the information required to be recorded pursuant
to this section.
(d) As used in
this section, a "listed patron" means a known patron for whom the book has
requested and received approval from the Executive Director to exclude wagers
and payments on winning wagers placed by the patron from the reporting
requirements of this section. If the Executive Director does not deny the
request for approval within 15 days of receipt of the request, the request will
be deemed to be approved. All approvals may be revoked at any time at the
discretion of the Executive Director, and are conditioned that the patron's
wagers and payments on winning wagers remain subject to the identification and
recordkeeping requirements of subsections (a) through (c) and of Rule 3.6 and
Rule 3.7. A book's written request to have a patron approved as a listed patron
shall include:
1. The patron's name;
2. The patron's residence, mailing
or business address;
3. The
patron's social security number;
4.
The patron's identification credential information including any document
number and expiration date;
5. The
patron's birth date;
6. A recent
photograph of the patron's face or a copy of a current picture identification
credential;
7. A description of the
patron's book wagering activity including the use of any wagering accounts or
credit accounts including account numbers;
8. A statement as to why the book desires to
have the patron approved as a listed patron and an acknowledgment that the book
believes that the patron is not involved in illegal wagering
activity;
9. The signature of the
licensee or an officer of the licensee; and
10. Any other information as required by the
Executive Director.
All records related to the patron's activity supporting the
request shall be available for commission review.
(e) Each book shall report the wagers and
payments on winning wagers required to be recorded pursuant to this section,
excluding any wagers and payments on winning wagers accepted from listed
patrons, on a "Book Wagering Report," a form published or approved by the
Executive Director that includes, but is not limited to:
1. The patron's name;
2. The patron's identity credential
information;
3. The patron's social
security number;
4. Wager and
payout amounts; and
5. Date of
transactions.
Reports shall be submitted to the Commission no later than
15 days after the end of the month of the occurrence of the transaction and in
such manner as the Executive Director may approve or require. Each book shall
file an amended report if the licensee obtains information to correct or
complete a previously submitted report, and the amended report shall reference
to the previously submitted report. Each book shall retain a copy of each
report filed for at least 3 years unless the Executive Director requires
retention for a longer period of time.
