3772-3-03 Duty to update information.

 

 

 

3772-3-03                    Duty to update information.

 

 

 

(A)An institutional investor shall notify the commission within fifteen days of any increase in its percentage ownership of the publicly traded securities of a casino operator or management company licensee or applicant or holding, intermediate, or parent company of a casino operator or management company licensee or applicant that would affect the entities qualifications as in institutional investor or presumption of suitability.

 

(B)An institutional investor shall notify the commission of any changes to its name or to its state of incorporation or principal place of business.

 

(C)An institutional investor shall notify the commission of any inquiry into, investigation of or action filed against the entity by any gaming regulatory agency or governmental gaming authority, except for routine renewal reviews.

 

(D)An institutional investor shall notify the commission of any rejection, suspension, revocation or denial of any institutional investor process, and any fine, penalty or settled amount relating to any institutional waiver process or gaming-related license imposed upon or agreed to by the entity in any jurisdiction.

 

(E)An institutional investor shall notify the commission of any other information that would affect the entity's qualifications or suitability to maintain an institutional investor designation under Chapter 3772. of the Revised Code and the rules adopted thereunder.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3772-3-03         Effective:	04/01/2012	2
R.C. 119.032 review dates:	04/01/2017
CERTIFIED ELECTRONICALLY
Certification
03/22/2012
Date
Promulgated Under:	119.03
Statutory Authority:	3772.03
Rule Amplifies:	3772.03, 3772.10