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 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 entity's presumption of suitability or qualification as an institutional investor .

(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 authority or other governmental agency or 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 by any gaming regulatory agency or authority, and any fine, penalty or settled amount relating to any institutional 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 suitability or qualifications as an institutional investor under Chapter 3772. of the Revised Code and the rules adopted thereunder.

Effective: 02/23/2013
R.C. 119.032 review dates: 04/01/2017
Promulgated Under: 119.03
Statutory Authority: 3772.03
Rule Amplifies: 3772.03 , 3772.10
Prior Effective Dates: 4/1/2012