R 432.1406 Reporting requirements.

Rule 406. (1) If a publicly traded corporation or other person that applies for or holds a casino license files any of the following documents with the Securities and Exchange Commission, the person must file 1 copy of each document with the board within 14 days of filing the documents with the Securities and Exchange Commission: (a) Form 10. (b) Form 10-Q. (c) Form 10-K. (d) Form 8-K. (e) Form 1-A. (f) Registration Statement S-1. (g) Registration Statement SB-2. (h) Registration Statement 10-SB. (i) Report 10-KSB. (j) Report 10-QSB. (k) Schedule 13e-3. (l) Schedule 14D-9. (m) A filing required by 17 CFR 240.14f-1, as amended. (2) If a publicly traded corporation or other person that applies for or holds a casino license receives any material document filed with the Securities and Exchange Commission by any other person relating to the publicly traded corporation, the person must file 1 copy of the document with the board within 14 days after receipt of the material. (3) A publicly traded corporation or other person that applies for or holds a casino license must file a list of record holders of its voting securities with the board annually. (4) A person applying for or holding a casino license must report to the board the election or appointment of a director or officer of that applicant or licensee or a holding company of that applicant or licensee who is actively and directly engaged in the administration or supervision of that applicant or licensee. (5) If a person that applies for or holds a casino license learns that a key person or substantial owner of the publicly traded corporation has disposed of his or her voting securities, the person must provide the board with written notice of the transaction within 14 days of becoming aware of it. (6) A person who applies for or holds a casino license and all other persons covered by this part must file any other document requested by the board to ensure compliance with the act or this part within 30 days of a board request or at another time established by the board.