61D-14.002. Application Requirements

(1) Each application for a slot machine license shall:

(a) Be filed by a pari-mutuel wagering permitholder;

(b) Be filed on Form DBPR PMW-3400, Permitholder Application for Annual Slot Machine License, effective May 2017, incorporated herein by reference, http://www.flrules.org/Gateway/reference.asp?No=Ref-08244, and can be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1037;

(c) Include the full name of the applicant;

(d) Include a list of all ownership interests of five percent or greater and:

1. If the applicant is a corporation, provide the name of the state in which incorporated and the names and addresses of the officers, directors, and shareholders holding five percent or more equity, or

2. If the applicant is a business entity other than a corporation, provide the names and addresses of the principals, partners, shareholders or any other person holding five percent or more equity;

(e) Include the names and addresses of the ultimate equitable owners for a corporation or other business entity, if different from those provided under paragraph (d) above, unless:

1. The securities of the corporation or entity are registered pursuant to Section 12 of the Securities Exchange Act of 1934, 15 United States Code Sections 78a-78kk, and

2. The corporation or entity files the reports required by Section 13 of the Act with the United States Securities and Exchange Commission, or the securities of the corporation or entity are regularly traded on an established securities market in the United States;

(f) Include the names and addresses of any mortgagee of the applicant’s pari-mutuel facility and information on any financial agreement between the parties including the names and addresses of:

1. The officers and directors of the mortgagee,

2. The stockholders in the mortgagee who hold more than five percent of the stock, and

3. The equitable owners under paragraph (e) above, if applicable.

(g) Provide for each individual listed in the application as an owner, partner, officer, or director:

1. A complete set of fingerprints that are submitted electronically to the Florida Department of Law Enforcement (FDLE) and the Federal Bureau of Investigations (FBI) for state and national criminal history record checks. All sets of fingerprints must be submitted by a livescan service provider that has been approved by FDLE to electronically submit criminal history requests. If the set of fingerprints are taken on a physical fingerprint card FD-258, it must be scanned and submitted by a FDLE-approved livescan service provider. The complete set of fingerprints and payment of the figerprint fee must comply with the following:

a. Each owner, partner, officer, or director required to be reported pursuant to this section must provide the livescan service provider the correct Originating Agency Identifier (ORI) number, which is FL923230Z, in order for the division to receive his or her fingerprint results.

b. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved livescan service provider.

2. Form DBPR PMW-3140, Disclosure for Individuals Related to a Business, incorporated by reference in Rule 61D-11.008, F.A.C., authorizing the division and FDLE to obtain any record held by a financial or public institution.

(h) Include a security plan that is in compliance with the specifications cited in Rule 61D-14.051, F.A.C.;

(i) Include a copy of the contracts required by Section 551.104(10), F.S.;

(j) Include the name and address of the custodian of records in Florida for slot machine operations;

(k) Include the date of issue of each permit to conduct pari-mutuel wagering and the applicant’s ownership interest percentage;

(l) Include a complete Form DBPR PMW-3470, Surety Bond for Florida Slot Machine Licensee, effective September 2020, incorporated herein by reference, https://www.flrules.org/Gateway/reference.asp?No=Ref-12093, and which can be obtained at http://www.myfloridalicense.com/DBPR/pari-mutuel-wagering/ or by contacting the Division of Pari-Mutuel Wagering at 2601 Blair Stone Road, Tallahassee, Florida 32399-1037. This form provides proof of a bond, in the amount of at least 2 million dollars ($2,000,000.00) payable to the Governor of the State of Florida and his or her successors in office. The bond required by this section must:

1. Be issued by a surety authorized to issue such a bond in the state of Florida,

2. Provide the surety name, bond number, and date of the instrument,

3. State that upon the principal’s failure to comply with Chapter 551, F.S., and Chapter 61D-14, F.A.C., including failure to promptly pay all gaming fees and taxes when due and demanded, the Director of the Division of Pari-Mutuel Wagering of the Department of Business and Professional Regulation (DBPR) may make demand upon the surety for the payment of the amount of the default to also include any fines or administrative penalties imposed as a result of a default by said principal up to but not to exceed the amount of its liability as defined by this bond,

4. Indicate the expiration date of the bond and provide that the bond may be continued by continuation certificate signed by the principal and surety,

5. Provide that the surety may reserve the right to withdraw from the bond, except the surety may not withdraw as to any liability already incurred or accrued during the period of the bond, and may do so only upon giving written notice of the withdrawal to the Director of the Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037. The bond must further provide that any approved withdrawal shall not be effective until sixty (60) days have elapsed after the division’s acknowledgement of the notice,

6. Provide that withdrawal shall not in any case affect the surety’s liability arising out of any outstanding amount incurred prior to the expiration of the 60-day period, after which the division has acknowledged the surety’s notice of withdrawal; and,

7. Include the signatures of the Corporate President, Secretary, and attorney in fact (as required) and Florida Registered Agent, and the printed name and address of that Registered Agent.

(m) Include payment of the non-refundable application fee upon the filing of the application as required by Section 551.106(1), F.S.;

(n) Include payment of the non-refundable regulatory fee to fund the compulsive gambling program as required by Section 551.118, F.S.;

(o) Include a copy of each policy required by Section 551.104(4)(i), F.S.;

(p) Provide a list summarizing all administrative, civil, or criminal proceedings initiated by any governmental agency or entity, including all judgments or final decisions entered in such proceedings, that would affect the license status of the applicant or any affiliate of the applicant pursuant to Sections 550.054, 550.1815 and 551.104, F.S., as well as additionally provide, when specifically requested by the division, copies of any complaint, pleading, and any final order, judgment, or other final disposition in any such administrative, civil, or criminal proceeding.

(q) Include internal control procedures required by Rule 61D-14.058, F.A.C.; and,

(r) Include the dates and hours of slot machine operations as specified in Section 551.116, F.S.

(2) The applicant for a slot machine license shall file its application under oath.

(3) If the applicant for a slot machine license is a business entity, the application shall be filed under oath by an officer, director or manager who is authorized by the applicant business entity to bind the applicant to the representations made in the license application. The officer, director or manager signing the application of a business entity shall affirm under oath that he or she is authorized to sign on behalf of the business entity applying for the slot machine license.

(4) The applicant for a slot machine license shall indicate:

(a) When the applicant intends to claim any exemption from public records disclosure under Section 119.07, F.S., or any other exemption from public records disclosure provided by law, for any part of its application, and

(b) The specific sections for which it claims an exemption and the basis for the exemption pursuant to Section 119.07, F.S., or any other exemption from public records disclosure provided by law.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 551.103(1)(a), (b), (f), (g), 551.104(4), (10), 551.106(1), 551.107(7), 551.118, 559.79 FS. History–New 6-25-06, Amended 6-21-10, 5-30-17, 9-1-20.