Chapter 109:9-1 Registration, Certificate of Compliance, and Reports

109:9-1-01 Sweepstakes registration.

(A) Each person that desires to conduct a sweepstakes shall submit an application for registration with the attorney general. Such application shall be on forms provided by the attorney general.

(1) Each natural person filer is required to submit the following information:

(a) Information establishing the person's identity including names, aliases, date of birth, driver's license number, citizenship, military service and physical descriptions;

(b) A current photograph;

(c) Contact information including addresses, telephone numbers, place of employment and electronic mail addresses;

(d) Information pertaining to the person's criminal history including arrests, charges, and convictions;

(e) Information pertaining to the person's other licenses or permits issued by a federal, state or local official;

(f) Employment history; and

(g) Information pertaining to bankruptcy filings, insolvency, garnishments, attachments, financial liens or judgments, and lawsuits;

(2) Each non-natural person filer, including corporations, trusts, partnerships, limited liability companies and associations, is required to submit the following information;

(a) Information establishing the business location and contact information including addresses, telephone numbers and identification numbers;

(b) Information establishing the organizational status of the applicant including articles of incorporation, by-laws, trust governing documents, constitutions, or other governing instruments;

(c) Information pertaining to principals responsible for the organization including contact information;

(d) Information pertaining to past business names and enterprises of the applicant;

(e) Information reflecting the applicant's corporate structure including parents, intermediaries, subsidiaries, affiliates or other business entities;

(f) Information regarding financial services, investments, contracts and business-related agreements;

(g) Information as to the applicant's other permits, licenses or registrations with federal, state or local officials;

(h) An applicant's compliance with federal, state and local laws and ordinances;

(i) An applicant and its principal's criminal history;

(j) Information concerning bankruptcy, insolvency, tax non-compliance, and lawsuits;

(k) Information detailing an applicant's financial solvency including audit reports and financial statements;

(l) Description of all sweepstakes terminal devices and sweepstakes games; and

(m) Information concerning the manufacturers, distributors, and vendors of sweepstakes terminal devices utilized by the applicant.

(B) Each applicant for a sweepstakes registration shall cooperate with the attorney general's review of the application and submit any additional information as requested by the attorney general.

(C) Each applicant for a sweepstakes registration shall remit a registration fee of two hundred dollars to the attorney general at the time the application is submitted. No application will be processed until the registration fee has been received by the attorney general.

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Effective: 01/23/2014
R.C. 119.032 review dates: 01/23/2018
Promulgated Under: 119.03
Statutory Authority: 119.03 , 2915.02
Rule Amplifies: 2915.02
Prior Effective Dates: 10/18/13 (Emer)

109:9-1-02 Application for certificate of compliance.

(A) A person may submit an application for a certificate of compliance that the person is not operating a sweepstakes terminal device facility. The application shall be on a form prescribed by the attorney general and shall require the following information:

(1) Information pertaining to the applicant including business organization and structure, principal(s), locations, contact information, and identification numbers;

(2) Information pertaining to the business purpose of the applicant or the applicant's business;

(3) The number of sweepstakes terminal devices and their location within the applicant's location;

(4) Descriptions of the types of games, rules for play, notification of winnings, types of prizes, method of participation and advertisements; and

(5) Information pertaining to the manufacturer, distributor and vendors of sweepstakes terminal devices expected to be utilized by the applicant.

(B) The filing fee for an application is two hundred fifty dollars and shall be remitted to the attorney general at the time of filing the application. An application will not be processed until the applicable filing fee has been received.

(C) In the event that the attorney general incurs investigative costs in excess of two hundred fifty dollars, the attorney general may assess additional costs of investigation to an applicant. Any additional cost shall not exceed two hundred fifty dollars. The attorney general will not issue a certificate of compliance until any additional costs assessed under this paragraph have been received.

(D) A certificate of compliance shall be valid for one year from the date of issuance. A person may reapply for a certificate of compliance in each year in which the person intends to conduct sweepstakes.

(E) If a person has more than one business location where sweepstakes are conducted, a person may file a consolidated application for a certificate of compliance on a form prescribed by the attorney general.

Click to view Appendix

Click to view Appendix

Effective: 01/23/2014
R.C. 119.032 review dates: 01/23/2018
Promulgated Under: 119.03
Statutory Authority: 119.03 , 2915.02
Rule Amplifies: 2915.02
Prior Effective Dates: 10/18/13 (Emer)

109:9-1-03 Monthly reports.

(A) Each person who is registered to conduct sweepstakes under rule 109:9-1-01 of the Administrative Code shall submit a report no later than the 10th day of each month on a form prescribed by the attorney general detailing the following information:

(1) The name, location, and registration information of the filing party;

(2) Monthly gross receipts, revenue, and liabilities;

(3) The number of sweepstakes entries or games played;

(4) The number and value of sweepstakes prizes awarded; and

(5) The percentage of gross revenue received from the conduct of sweepstakes.

(B) Each monthly report shall be accompanied by a filing fee of fifty dollars.

Click to view Appendix

Effective: 01/23/2014
R.C. 119.032 review dates: 01/23/2018
Promulgated Under: 119.03
Statutory Authority: 119.03 , 2915.02
Rule Amplifies: 2915.02
Prior Effective Dates: 10/18/13 (Emer)

109:9-1-04 Semi-annual reports.

(A) Each person who has been issued a certificate of compliance under rule 109:9-1-02 of the Administrative Code shall submit a semi-annual report no later than June thirtieth and December thirty-first in each year in which sweepstakes are conducted on a form prescribed by the attorney general detailing the following information:

(1) The name, location, and registration information of the filing party;

(2) Monthly gross receipts, revenue, and liabilities;

(3) The number of sweepstakes entries or games played;

(4) The number of sweepstakes terminal devices at the location;

(5) The number and value of sweepstakes prizes awarded; and

(6) The percentage of gross revenue received from the conduct of sweepstakes.

(B) A person who has more than one business location that has been issued a certificate of compliance may submit a consolidated semi-annual report on a form prescribed by the attorney general.

Click to view Appendix

Click to view Appendix

Effective: 01/23/2014
R.C. 119.032 review dates: 01/23/2018
Promulgated Under: 119.03
Statutory Authority: 119.03 , 2915.02
Rule Amplifies: 2915.02
Prior Effective Dates: 10/18/13 (Emer)