3772-3-04 Rescission of designation as an institutional investor.

ACTION:  Original                                             I DATE: 12/29/2011 11:39 AM  I

Notice of Public Hearing

A public hearing will be held by the Ohio Casino Control Commission on F?bruary 6, 2012 at 10:00 a.m. in the Lobby Hearing Room of the Rhodes State Office Tower, located at 30 East Broad Street, Columbus, Ohio 43215. The purpose of the hearing is to solicit public comment on the following proposed rules:

Rule 3772-9-01, titled "Definitions." The proposed rule sets forth the definitions pertaining to gaming supplies, devices and equipment found in chapter 3772- of the Administrative  Cod?.

Rule 3772-9-02, titled "Approval for us? in a casino facility," The proposed rule sets forth the approval process for maintaining, using or operating slot machines and other electronic gaming equipment by casino operator licensees.

Rule 3772-9-03, titled "Testing." The proposed rule describes the testing to be performed upon slot machines or other electronic gaming equipment prior to Casino Control Commission approval for use at a casino facility.

Rul? 3772-9"04, titl?d

b? taken as a result of the t?sting results performed under Rule 3772-3?03.

Rule 3772-9-05, titled "Transportation of slot machin?s to and from a casino facility." ?he proposed rule describes the process by which a casino operator licensee may move slot machines within, around, and out of Ohio.

Rul? 3772-9-06, titled "Possession and storage of slot machines." The proposed rule describes process for storing and possessing, within Ohio, slot machines or other electronic gaming equipment intended for use at a casino facility.

Rule 3772-4 ?,titled "Casino operator, management company and holding company licens? application, license period and license renewal." The proposed rule describes the general process and information required to receive a casino operator, management company, and holding compa?y license.

Rule 3772-4-06, titled "Application fees." The proposed rule d?scribes the various application fe?s imposed by the Casino Control Commission.

Rule 3772-4-7, titl?d "License fees." The proposed rule describes the various license fees imposed by the Casino Control Commission.

Rul? 3772-4-8, titled "Affirmative license standards."  The proposed rule describes the criteria that must be demonstrated by a casino operator, manag?ment company, or holding company applicant prior to licensure.

Rule 3772-4-09, titled "Duty to update information." The propos?d f?le descri?es t?s obligations ?y licensees and applicants in supplying curre?t and updat?? inforr?ation to the Casino Control Commission.

Rule 3772-5-05, titled "Affirmative license standards." ?he proposed rule des????? criteria that each applicant for a key employee license must demonstrat? pri? to licensure.

Rule 3772-6-05, titled "Affirmative licens? standards."  The proposed rule ?scribes ?? criteria that each applicant for a gaming-related vendor license must demonstrat? prior to Iicensure.

Rule 3772-8-05, titled "Affirmative license standards.'??e proposed rule describes the criteria that each applicant for a casino gaming employee lie?ns? must de?onstrate prior to licensure.

Rule 3772-3-01, titled "Institutional investor." The proposed rule ?fines the ???

"institutional investor.'

Rule 3772-3-02, titled "Institutional investor ?aiver fo?n. ? ?he proposed r?? describes the waiver process for institutional investors below certain thresholds ?om s?mitting to a suitability review ?r ?? Casino Control Commission.

Rule 3772-3"03, titled "Duty to update information." The proposed rule details th? information an institutional must update with the Casino Control Commission on ? continuing basis.

Rule 3772"3-04, titled "Rescission of designation as an institutional investor."?he proposed rule describes the circumstances under which an entity may los? its designation as an institutional investor.

?ule 3772-3-05, titled "Records retention re?uirements for a casino operator, managem ?nt company, holding company and gaming-relate? V?ndor lie?ns?e."?k proposed rule describes the minimum records retention policy re?irements for ?asino

op?rator, management company, holding company, and gaming-related vendor licensees.

Rule 3772-15  ?,titled "Independent  testing l?oratory  certi?cation."?;1? proposed rule permits an independent testing laboratory to request certi?cation ?y t?e Casino Control Commission.

R?le 3772-15-02, titled "Independent testing laboratory inf??nation, C????tion period and certification renewal." The proposed rule describes the C?rti?C?tion and re- certification process for independent testing laboratories as well ?s the t?ee ?ar certification period.

Rule 3772-15-03, titled "Certification fees." The proposed rule details the f???at m?st be paid by an independent testing laboratory re??esting certification.

Rule 3772-15-04, titled "Background investigation of an indep?nde?t t?sting la?orator?" The proposed rule describes the background investigation of an independ?nt ??ting laboratory prior to commission certification.

Rule 3772-15-05, titled "Conditions of ce??cation."'f he proposed rule lists ?£ conditions of certification that must be agreed to and complied ?ith before and ?fter certification of an independent testing la?oratory.

Rul? 3772-15-06 titled ,"Duties of a certified independent testing laborato?'·"?k proposed rule describes the affirmative obligations of a certified independent t?sting laboratory.

Rule 3772-12-0 I , titled "Establishment of volu?tary exclusion program and list." The proposed rule creates a voluntary exclusion program and list.

Rule 3772-12-02, titled "Application for voluntary exclusion."??? proposed rule describes the application process for placement on the volunt?ry exclusion list.

Rule 3772-12-03, titled "Responsibilities of voluntarily excluded individual." Th? proposed rule describ?s the obligations of individuals participating ??e voluntary exclusion program.

Rule 3772-12-04, titled "Responsibilities of casino operators."?K proposed rule describes a? obligations of casino operators with respect to complian?? ????

volunta?r  exclusion program.

Rule 3772-12-05, titled "Removal from voluntary exclusion list."??? proposed rule describes the process for an individual to be removed from the voluntary exclusion program and list.

?ule 3772" 12-06' titled

requires casino operators and manageme?t and holding compani?s involv?d in c?si?G

operations to create a compulsive and pro?lem gambling plan that is su?ect to t?? C?si?G Control  Commission's  approval.

?ule 3772-10-01, titled "Definitions." The proposed rule defin???ns to be ?? ?i?

respect to Minimum Internal Control Standards.

Rule 3772-10-02, titled "Requirement to submit internal control plans."?k proposed rul? requires each applicant for a casino operator license to submit an int?mal control plan to the Casino Control Commission for approval.

Rule 3772-10-03, titled "Casino operator or casino operator ?pplicant' s or??nization.? The proposed rule describes the organizational  informatio? that must be s?mitted as part of a casino operator 's internal control plan.

Rule 3772-10-04, titled "Accounting records." The proposed rule ??ribes the minimum internal controls of a casino operator pertaining to accounting records.

Rule 3772-10-05, titled "F ??s, records, and documents." The proposed rule des?ibes the minimum internal controls of a casino operator pertai?ing to th? receipt, control ,?d issuance of certain documents and records.

Rule 3772-10-06, titled "Standard ?nancial reports." The proposed rule describes the standard fi???cial documents that must be prepared and filed ?ith the Casino Control Commission.

Rule 3772-10-07, titled "Annual audit; other repo?;currency transaction report?; suspicious transaction reporting." The proposed rule details the minimum internal controls of a casino operator with respect to certain transactional reporting re?uirements.

Rule 3772-10-09, titled "Complimentaries." The proposed rule d?scribes the minimum internal controls of a casino operator with respect to giving complime?tary services ?E items to patrons or guests.

Rule 3772-10-10, titled       ?sonal check cashing." The proposed rule des?ibes the minimum internal controls of a casino operator with respect to ace?pting and ?shing personal checks.

Rule 3772-10 ?,titled "Wire transfers." The proposed rule d?scribes the ?inim?m internal controls of a casino operator pertaining to acceptanc?,verific?tion, accounting for, and sending of wire transfers.

Rule 3772-10-12, titled "Cash equivalents.'F   The proposed rule describes ?? minim?? internal controls of a casino operator regarding the acceptance and verification of ?sh equivalents.

Rule 3772-10-13, titled "Patron deposits." The proposed rule details the minimum internal controls of a casino operator pertaining to the receipt and ?i????al of patron d?posits.

Rul? 3772-10-14, titled "Internal audit standards." The proposed rule d??? ?? minimum internal controls of a casino operator with respect to in?rnal audit proc?dur?,

R?le 3772-10-15, titled "Information technology standards.' The proposed rule det?ils the minimum internal controls of a casino operator with respect to information technology.

All interested p?ties are invited to a?end the hearing and present oral and/or written testimony.   Written comments m?y also be submi?ed to the attention of Ma???

R. Oyster, Assistant General Counsel, Casino Control Commission, at 10 West Bro? Street, 6th Floor, Columbus, Ohio 43215 or by electronic mail at

matthew.ovst ?r(a)casinocontrol. ?io.gov.