Disclosure of Character Information

PURPOSE: This rule sets forth the character information required in an application for a Class D license. (1) An applicant for a Class D license must make its best effort to disclose the information required by this rule of any individual or other entity employed by the applicant and who will have any duties or responsibilities for the conduct of pari-mutuel wagering at the state fair or any county fair— (A) Whether any individual or corporation has been convicted in a criminal proceeding with any felony or misdemeanors. If any individual or entity has been so convicted, the applicant must disclose the date of the conviction, the court, the crime convicted of, whether by plea or finding of a judge or jury and the sentence imposed, if any; (B) Whether any individual or corporation has been a party in a civil proceeding in which s/he/it has been alleged to have engaged in any unfair or anti-competitive business practice, a securities violation or false or misleading advertising. If any individual or entity has been a party to the civil proceeding, the applicant must provide the date of commencement of the proceeding, the court, the circumstances, the date of any resolution including settlements, the terms of any settlement, the result of any trial and the result of any appeal; (C) Whether any individual or entity has had a horse racing, gambling or other business license or permit revoked or suspended or the renewal of the license denied or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose the date of commencement, the circumstances, the date of decision and the result; (D) Whether any individual or entity has been accused in an administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination, horse racing or gambling. If any individual or entity has been involved in any such proceeding, the applicant must disclose the date of commencement, the forum, the circumstances, the date of any decision and the result; and (E) Whether any individual or entity has commenced an administrative or judicial action against a government regulator of horse racing or gambling. If so, the applicant must disclose the date of commencement, the forum, the circumstances, the date of any decision and the result. AUTHORITY: sections 313.580.1 and 313.580.2, RSMo 1986.* This rule originally filed as 12 CSR 50-13.040. Emergency rule filed June 5, 1986, effective June 15, 1986, expired Oct. 13, 1986. Original rule filed June 12, 1986, effective Oct. 27, 1986. Moved to 11 CSR 45-53.040, effective Aug. 28, 1995. *Original authority: 313.580, RSMo 1986.