2014 Indiana Code TITLE 4. STATE OFFICES AND ADMINISTRATION ARTICLE 33. RIVERBOAT GAMBLING CHAPTER 5. DISCLOSURE OF RECORDS
Download as PDF
IC 4-33-5
Chapter 5. Disclosure of Records
IC 4-33-5-1
License and operator agent contract applicants; disclosure of
information
Sec. 1. An applicant for a license or an operating agent contract
under this article must provide the following information to the
commission:
(1) The name, business address, and business telephone number
of the applicant.
(2) An identification of the applicant.
(3) The following information for an applicant that is not an
individual:
(A) The state of incorporation or registration.
(B) The names of all corporate officers.
(C) The identity of the following:
(i) Any person in which the applicant has an equity
interest of at least one percent (1%) of all shares. The
identification must include the state of incorporation or
registration if applicable. However, an applicant that has
a pending registration statement filed with the Securities
and Exchange Commission is not required to provide
information under this item.
(ii) The shareholders or participants of the applicant. An
applicant that has a pending registration statement filed
with the Securities and Exchange Commission is required
to provide only the names of persons holding an interest of
more than one percent (1%) of all shares.
(4) An identification of any business, including the state of
incorporation or registration if applicable, in which an applicant
or the spouse or children of an applicant has an equity interest
of more than one percent (1%) of all shares.
(5) If the applicant has been indicted, been convicted, pleaded
guilty or nolo contendere, or forfeited bail concerning a
criminal offense other than a traffic violation under the laws of
any jurisdiction. The applicant must include the following
information under this subdivision:
(A) The name and location of the following:
(i) The court.
(ii) The arresting agency.
(iii) The prosecuting agency.
(B) The case number.
(C) The date and type of offense.
(D) The disposition of the case.
(E) The location and length of incarceration.
(6) If the applicant has had a license or certificate issued by a
licensing authority in Indiana or any other jurisdiction denied,
restricted, suspended, revoked, or not renewed. An applicant
must provide the following information under this subdivision:
(A) A statement describing the facts and circumstances
concerning the denial, restriction, suspension, revocation, or
nonrenewal.
(B) The date each action described in clause (A) was taken.
(C) The reason each action described in clause (A) was
taken.
(7) If the applicant has:
(A) filed or had filed against the applicant a proceeding in
bankruptcy; or
(B) been involved in a formal process to adjust, defer,
suspend, or work out the payment of a debt;
including the date of filing, the name and location of the court,
and the case and number of the disposition.
(8) If the applicant has filed or been served with a complaint or
notice filed with a public body concerning:
(A) a delinquency in the payment of; or
(B) a dispute over a filing concerning the payment of;
a tax required under federal, state, or local law, including the
amount, type of tax, the taxing agency, and times involved.
(9) A statement listing the names and titles of public officials or
officers of units of government and relatives of the public
officials or officers who directly or indirectly:
(A) have a financial interest in;
(B) have a beneficial interest in;
(C) are the creditors of;
(D) hold a debt instrument issued by; or
(E) have an interest in a contractual or service relationship
with;
an applicant.
(10) If an applicant for an operating agent contract or an
owner's or a supplier's license has directly or indirectly made a
political contribution, loan, donation, or other payment to a
candidate or an office holder in Indiana not more than five (5)
years before the date the applicant filed the application. An
applicant must provide information concerning the amount and
method of a payment described in this subdivision.
(11) The name and business telephone number of the attorney
who will represent the applicant in matters before the
commission.
(12) A description of a proposed or an approved riverboat
gaming operation, including the following information:
(A) The type of riverboat.
(B) The site or home dock location of the riverboat.
(C) The expected economic benefit to local communities.
(D) The anticipated or actual number of employees.
(E) Any statements from the applicant concerning
compliance with federal and state affirmative action
guidelines.
(F) Anticipated or actual admissions.
(G) Anticipated or actual adjusted gross gaming receipts.
(13) A description of the product or service to be supplied by
the applicant if the applicant has applied for a supplier's license.
(14) The following information from each licensee or operating
agent involved in the ownership or management of gambling
operations:
(A) An annual balance sheet.
(B) An annual income statement.
(C) A list of the stockholders or other persons having at least
a one percent (1%) beneficial interest in the gambling
activities of the person who has been issued the owner's
license or operating agent contract.
(D) Any other information the commission considers
necessary for the effective administration of this article.
As added by P.L.277-1993(ss), SEC.124. Amended by P.L.92-2003,
SEC.25; P.L.97-2004, SEC.15; P.L.229-2013, SEC.13.
IC 4-33-5-1.5
Confidential information
Sec. 1.5. (a) The following information submitted, collected, or
gathered as part of an application to the commission for a license is
confidential for purposes of IC 5-14-3-4:
(1) Any information concerning a minor child of an applicant.
(2) The Social Security number of an applicant or the spouse of
an applicant.
(3) The home telephone number of an applicant, or the spouse
or children of an applicant.
(4) An applicant's birth certificate.
(5) An applicant's or applicant's spouse's driver's license
number.
(6) The name or address of a previous spouse of the applicant.
(7) The date of birth of the spouse of an applicant.
(8) The place of birth of the spouse of an applicant.
(9) The personal financial records of an applicant or the spouse
or minor child of an applicant.
(10) Any information concerning a victim of domestic violence,
sexual assault, or stalking.
(11) The electronic mail address of an applicant or spouse or
family member of the applicant.
(b) Except as provided in subsections (c) and (d), in addition to
information that is confidential under subsection (a), all information
maintained by the commission concerning an individual who holds,
held, or has applied for an occupational license under this article:
(1) is confidential for purposes of IC 5-14-3; and
(2) may be released by the commission only for law
enforcement purposes or to a state or local public agency.
(c) The following information concerning an individual who
holds, held, or has applied for an occupational license under this
article is not confidential:
(1) The individual's name.
(2) The individual's place of employment.
(3) The individual's job title.
(4) The individual's gaming experience.
(5) The reason for denial or revocation of a license or for
disciplinary action against the individual.
(6) Information submitted by the individual for a felony waiver
request under IC 4-33-8-11.
(d) An individual who holds, held, or has applied for an
occupational license under this article may waive the confidentiality
requirements of subsection (b).
As added by P.L.125-2006, SEC.1. Amended by P.L.104-2008,
SEC.2.
IC 4-33-5-2
Commission records
Sec. 2. Notwithstanding any other law, upon written request from
a person, the commission shall provide the following information to
the person:
(1) Except as provided in section 1.5 of this chapter, the
information provided under section 1 of this chapter concerning
a licensee or an applicant.
(2) The amount of the wagering tax and admission tax paid
daily to the state by a licensed owner or an operating agent.
(3) A copy of a letter providing the reasons for the denial of an
owner's license or an operating agent's contract.
(4) A copy of a letter providing the reasons for the
commission's refusal to allow an applicant to withdraw the
applicant's application.
As added by P.L.277-1993(ss), SEC.124. Amended by P.L.92-2003,
SEC.26; P.L.125-2006, SEC.2.
IC 4-33-5-3
Fees
Sec. 3. The commission may assess fees for the copying of
information provided by the commission.
As added by P.L.277-1993(ss), SEC.124.
Disclaimer: These codes may not be the most recent version. Indiana may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
