61D-14.006. Occupational License Application Requirements for Business Entities

(1) The slot machine occupational license requirements of this section apply to any business entities, including wide area progressive providers or sole proprietorships, as follows:

(a) A business entity shall apply for a business entity occupational license, if the business entity:

1. Acts as a slot machine management company, slot machine manufacturer or distributor, or sells slot machine gaming related products, services, or goods to a slot machine licensee, or

2. Employs individuals who may be granted access to the designated slot machine area by reason of the employment position they hold with the business entity.

(b) Business entities or their employees that do not supply slot machine gaming related products, services, or goods are not required to hold a business occupational license. However, the slot machine licensee shall be required to meet the requirements of paragraph 61D-14.051(4)(k), F.A.C.

(c) A business entity may submit a modified application to apply for a business entity occupational license under the conditions listed in subsection (4), below, if it meets specific criteria listed below. The entity’s employee(s) shall obtain a slot machine occupational license if they intend to be granted access to the designated slot machine area by reason of the employment position they hold with the business entity. The business entity must meet each of the following criteria for this specific licensure:

1. The service or product the business entity provides a facility licensed under Chapter 551, F.S., is not exclusively (or specifically) dedicated to slot machine gaming, or the delivery of slot machines, or the business entity is not engaged in activity directly related to slot machines,

2. The service or product the business entity provides a facility licensed under Chapter 551, F.S., requires employees of the business entity to interact or come in contact with facility slot machines, support systems, or other associated equipment connected in any way to the operation of slot machines in order to perform their responsibilities,

3. The business entity is a corporation with regularly traded shares on an established securities market in the United States,

4. The business entity is a corporation with corporate officers located in more than three states and/or overseas locations; and,

5. The day-to-day management of the business entity within Florida is delegated to a senior manager resident within Florida. For purposes of this rule, the term senior manager designates an applicant’s highest level manager permanently residing in Florida.

(2) An application for a business slot machine occupational license shall be made on Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, effective September 2020, incorporated herein by reference, http://www.flrules.org/Gateway/reference.asp?No=Ref-12095, 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.

(3) Each business applicant shall be required to include the following information as required by Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, incorporated by reference in subsection (2), above:

(a) The name of the business, including “doing business as” (d/b/a) names or fictitious names;

(b) The business Federal Employer Identification Number or, for sole proprietors, a social security number;

(c) Whether the business is a sole proprietorship, corporation, estate, trust, partnership, limited liability company, or if not one of the foregoing, a description of the business entities ownership and management structure;

(d) The applicable business license fee as provided in Rule 61D-14.011, F.A.C.;

(e) The physical and mailing address(es), including the country if not the United States of America;

(f) A copy of the business entity’s registration to do business in the state of Florida, or proof of attempting to obtain such registration;

(g) The name and title of a contact person working for the business, including a primary telephone number, an alternate telephone number, and a primary email address;

(h) A list of all officers, directors, or managers of the business including:

1. A set of each officer, director, or manager’s fingerprints must be submitted electronically to FDLE and FBI for state and national criminal history record checks. All sets of fingerprints must be submitted by a live-scan vendor or 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 live-scan vendor or service provider.

a. Each officer, director, or manager required to be reported pursuant to this section must provide the correct Originating Agency Identifier (ORI) number listed on the Division of Pari-Mutuel Wagering’s licensing portal website to the live-scan vendor or service provider. Failure to provide the correct ORI number may result in an incomplete application;

b. The cost of fingerprint processing shall be paid by the applicant directly to the FDLE-approved livescan service provider or, if fingerprints are submitted to the division on a fingerprint card FD-258, shall be paid by the applicant directly to the division; and,

2. A Form DBPR PMW-3140, Disclosure for Individuals Related to a Business, incorporated by reference in Rule 61D-11.008, F.A.C., signed by the individual.

(i) The name, title, and job description of each employee who is required to enter any area of a slot machine licensee’s facility;

(j) Disclosure of other jurisdictions in which the applicant holds, has held, or is applying for a gaming license, including any license, permit, or registry required in order to participate in any legal gaming operation.

(k) Disclosure of whether the applicant has had a gaming license in another jurisdiction suspended, revoked, or denied, or whether there are administrative, civil, or criminal proceedings in any other jurisdiction that could result in the imposition of any suspension, revocation, or denial in that jurisdiction. Such disclosure shall include:

1. A list of the applicable license, permit, or registry required in order to participate in any legal gaming operation, including any license which has been relinquished in lieu of prosecution,

2. Any denial, suspension, or revocation of a license, permit, or certification issued by any governmental agency; and,

3. A copy of all court or administrative records regarding any denial, suspension, or revocation of a license, permit, or certification issued by any governmental agency.

(l) A description of the services, products or goods which the business intends to provide;

(m) A list of all ownership interests of five percent or greater. If a corporation, 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, if a business entity other than a corporation, the names and addresses of the principals, partners, shareholders or any other person holding five percent or more equity;

(n) The names and addresses of the ultimate equitable owners for a corporation or other business entity, if different from those provided under paragraph (3)(h) and (m), 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,

2. If such corporation or entity files with the United States Securities and Exchange Commission the reports required by Section 13 of the act above, or if the securities of the corporation or entity are regularly traded on an established securities market in the United States,

(o) If the applicant is a corporation, the application shall also disclose:

1. The state in which the applicant is incorporated,

2. Whether the corporation, or any officer or director of that corporation, has been convicted of a crime, and if so, provide:

a. A listing of those crimes; and,

b. A copy of all court or administrative records concerning the charge and final order regarding any crime for which the corporation or officer or director was convicted.

3. A copy of the corporation’s registration to do business in the state of Florida, or proof of attempting to obtain such registration,

4. The name of any person authorized to accept service of process for administrative, civil or criminal proceedings in the state of Florida,

5. A complete listing of any subsidiaries of the corporation; and,

6. A complete listing of any other corporations holding an ownership interest in the applicant corporation, including any officers, directors, managers or ownership interest in such a company holding an interest in the applicant; and,

(p) A list of slot machine licensees to whom the applicant intends to provide services, products or goods.

(4) The following exemptions apply if a business entity chooses to submit itself for consideration under the requirements of paragraph (1)(c), above, for the division’s approval. The following changes and agreement of terms of such submission apply regarding that entity’s Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, incorporated by reference in subsection (2), above, and any subsequent enforcement action regarding the business entity or entity employee’s conduct:

(a) The Senior Manager who is employed and resides within Florida shall be permitted to represent the business entity for purposes of fulfilling the requirements of paragraph (3)(h), above;

(b) The Senior Manager representing the entity shall obtain an individual occupational license pursuant to Rule 61D-14.005, F.A.C.;

(c) The information required pursuant to the requirements of paragraph (3)(m), above, is further excluded from the required application as well as the requirement for the continued maintenance of that information in corporate records for inspection;

(d) The business entity remains responsible for all required certifications as to accuracy of the information contained on the application for that business entity, notwithstanding the fact the Senior Manager represents the entity on that application; and,

(e) The entity’s Form DBPR PMW-3420, Slot Machine Business Entity Occupational License Application, incorporated by reference in subsection (2), above, shall be signed by an officer qualified to bind the corporation at the corporate level to contracts and similar agreements. The corporate officer’s signature shall attest to the accuracy and completeness of all information submitted on the application, without reservation.

(5) The business entity, by availing itself of the provisions of subsection (4), above, agrees to the following additional requirements of this application process under this subsection:

(a) The entire corporate business entity is subjected to the regulatory requirements and mandates of Chapter 551, F.S., and applicable rules;

(b) Any disciplinary action taken as to the business entity or the business entity designated Senior Manager representative within the state shall apply to the business entity corporate record of performance within this state as it relates to slot machine gaming licensure;

(c) Upon request from another regulatory jurisdiction, the division shall report regulatory infractions and/or disciplinary action applied to the business entity in Florida as applicable to the business entity’s corporate record of performance within the state without qualification or reservation.

(6) If the applicant is a business entity, it shall file its business occupational license application 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.

(7) An applicant for a license as a manufacturer or distributor of slot machines, or any equipment necessary for the operation of slot machines, shall attest in the application that the applicant, its officers, directors, or employees have no ownership or financial interest in a slot machine licensee or any business owned by a slot machine licensee.

(8) If the applicant for or holder of an occupational license 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 or information provided therein, it shall identify, in its application or by written notice to the division, the specific information for which it claims an exemption and the basis for the exemption.

(9) Each application shall be filed with the division’s office located at Department of Business and Professional Regulation, 2601 Blair Stone Road, Tallahassee, Florida 32399-1037.

(10) A business slot machine occupational licensee shall be permitted to provide goods and services to all slot machine and cardroom licensees and pari-mutuel permitholders. A business slot machine occupational licensee shall not be required to hold a Pari-Mutuel Business Occupational License or a Cardroom Business Occupational License to provide goods and services.

(11) A license application shall lapse and no longer be processed by the division, if the applicant fails to provide the division with a complete application within 120 days of a notice issued by the division pursuant to Section 120.60(1), F.S. An applicant with a lapsed license application shall not be eligible to participate in activities that require an occupational license. An applicant seeking a business slot machine occupational license as an initial or renewal applicant following the lapse of their previous license application shall be required to reapply by submitting all applicable materials and fees required by this rule and Rule 61D-14.011, F.A.C.

(12) Business slot machine occupational licenses issued pursuant to Section 551.107, F.S., shall have an effective date of July 1st and shall be valid for a period of three state fiscal years. A license granted pursuant to an application for a business slot machine occupational license submitted between April 1st and June 30th shall have an effective date beginning July 1st of the following state fiscal year. A license granted pursuant to an application received outside of this period shall have an effective date beginning July 1st of the same state fiscal year in which the application was received.

Rulemaking Authority 551.103(1), 551.122 FS. Law Implemented 550.0251(2), 551.103(1)(b), 551.107, 559.79 FS. History–New 7-30-06, Amended 6-21-10, 8-14-11, 9-26-13, 5-30-17, 9-1-20.