Chapter 3772-4 | Casino Operator, Management Company, and Holding Company Licenses

Rule 3772-4-01 | Instructions for the casino operator, management company, and holding company license application.

• Effective: October 26, 2024
• Promulgated Under: 119.03

The following instructions apply to the application for a license as a casino operator, management company, or holding company:

(A) Applicants for a license are seeking a privilege.

(B) The burden of proving qualifications to receive such a license is at all times borne by the applicant.

(C) The commission may request additional information not prescribed in the application form.

(D) The applicant is under a continuing duty to promptly disclose any changes in the information provided in the application and requested materials submitted to the commission. The duty to make such disclosures continues throughout any period of the license that is granted by the commission.

(E) If additional pages are required in order to answer any question, additional pages may be used and must be attached to the application form. Be sure to indicate the number(s) of the question(s) being answered and initial and date each additional page. Some schedules may require disclosure of information for more than one individual or entity or type of information.

(F) Failure to answer any question completely or truthfully may result in administrative action, including rejection or denial of the application or revocation of the license.

(G) An applicant should clearly identify those portions of the application that it deems to be confidential, proprietary commercial information or trade secrets. Applications are open to public inspection to the extent permitted by Ohio's Public Records Act and section 3772.16 of the Revised Code.

(H) Appendices are to be provided by the applicant. The required appendices are listed on the application checklist.

(I) A license expires three years after the date of licensure. A complete renewal application must be filed not less than one hundred eighty days prior to the expiration of the license.

Last updated October 29, 2024 at 8:16 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.11
Amplifies: 149.43, 3772.07, 3772.09, 3772.10, 3772.11, 3772.111, 3772.15, 3772.16, 3772.18
Five Year Review Date: 8/2/2026
Prior Effective Dates: 10/1/2016

Rule 3772-4-03 | Application fees.

• Effective: August 2, 2021
• Promulgated Under: 119.03

(A) Except as provided in division (C) of section 3772.17 of the Revised Code, an applicant for an initial or new casino operator, management company, or holding company license must pay a nonrefundable application fee of one million five hundred thousand dollars for each application.

(B) Except as provided in division (C) of section 3772.17 of the Revised Code, an applicant for a renewal casino operator, management company, or holding company license must pay a nonrefundable application fee of five hundred thousand dollars for each application.

(C) The application fee for a casino operator, management company, or holding company license may be increased to the extent that the cost of the investigation and review relating to an applicant exceeds the application fee set forth in paragraphs (A) and (B) of this rule. The executive director will advise the applicant in writing that an additional application fee is required. Once an applicant is directed to submit an additional application fee, the commission will not issue a casino operator, management company, or holding company license until the increased application fee is paid in accordance with paragraph (D) of this rule.

(D) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated August 2, 2021 at 10:33 AM

Supplemental Information

Authorized By: 3772.03, 3772.033, 3772.15
Amplifies: 3772.03, 3772.15, 3772.17
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012

Rule 3772-4-04 | License fees.

• Effective: August 2, 2021
• Promulgated Under: 119.03

(A) Upon a determination by the commission at a meeting held under section 3772.02 of the Revised Code that an applicant for an initial casino operator license is eligible to be issued a license, the applicant must pay an upfront, nonrefundable license fee of fifty million dollars for each casino facility.

(B) Except as provided in division (B) of section 3772.17 of the Revised Code, upon a determination by the commission at a meeting held under section 3772.02 of the Revised Code that an applicant for a new or renewal casino operator, management company, or holding company license is eligible to be issued a license, the applicant must pay a nonrefundable license fee of one million five hundred thousand dollars for each casino facility.

(C) Unless otherwise approved by the executive director, all fees must be submitted in the form of an electronic funds transfer payable to the treasurer of the state of Ohio.

Last updated August 2, 2021 at 10:34 AM

Supplemental Information

Authorized By: 3772.03
Amplifies: 3772.03, 3772.15, 3772.17
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012

Rule 3772-4-05 | Affirmative license standards.

• Effective: August 2, 2021
• Promulgated Under: 119.03

(A) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the applicant's suitability for licensure.

(B) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the suitability of all holding companies.

(C) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the qualification and suitability of individuals holding the following or equivalent positions:

(1) Chief executive officer;

(2) Chief operating officer;

(3) Chief financial officer;

(4) Controller;

(5) Principal accounting officer;

(6) General counsel or chief legal officer;

(7) Chief compliance officer;

(8) Director of the applicant or its holdings companies;

(9) Member or partner;

(10) General manager of the casino facility; and

(11) Any other office or position that, as determined by the commission, exercises significant influence over the operations of the applicant or its holding companies.

(D) An applicant for a casino operator, management company, or holding company license must establish, by clear and convincing evidence, the suitability of any other individual who holds more than five percent ownership interest in the applicant, who exercises significant influence over the casino operations in this state, who directly or indirectly controls the applicant, or any other individual identified by the commission.

(E) In determining whether to grant, maintain, or renew a casino operator, management company, or holding company license, the commission will evaluate and consider the following factors in addition to those set forth in Chapter 3772. of the Revised Code:

(1) The reputation and business experience of the applicant and its holding companies;

(2) Whether the applicant and its holding companies possess good character, honesty, and integrity;

(3) Whether the applicant and its holding companies possess financial stability, integrity, and responsibility;

(4) The ability of the applicant to obtain and maintain adequate insurance coverage as required by rule 3772-7-01 of the Administrative Code;

(5) The ability of the applicant for a casino operator license to post and maintain a surety bond in the amount of one million dollars in accordance with the requirements in section 3772.112 of the Revised Code;

(6) The compliance history of the applicant, its holding companies, and its affiliates or affiliated companies with casino-related licensing requirements in this state or any other jurisdiction;

(7) The criminal history of the applicant and its holding companies in any jurisdiction;

(8) Whether and to what extent the applicant or its holding companies have associated with members of organized crime and other persons of disreputable character;

(9) Whether the applicant or its holding companies have filed or had filed against it a proceeding for bankruptcy or have ever been involved in any formal process to adjust, defer, suspend, or otherwise resolve the payment of any debt;

(10) Whether the applicant or its holding companies have been served with a complaint or other notice filed with any public body regarding a payment of any tax required under federal, state, or local law that has been delinquent for one or more years;

(11) Whether the applicant or its holding companies have been a defendant in litigation involving its business practices;

(12) The extent to which the applicant or its holding companies have cooperated with the commission in connection with the background investigation;

(13) The extent to which the applicant or its holding companies have provided accurate and complete information in the application;

(14) The suitability of the facilities or proposed facilities for the conducting of casino gaming;

(15) The prospective total revenue to be collected by the state for the conducting of casino gaming; and

(16) Whether awarding the license would undermine the public's confidence in the casino gaming industry in this state.

Last updated August 2, 2021 at 10:34 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.07, 3772.10, 3772.11, 3772.111, 3772.112
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012

Rule 3772-4-06 | Duty to update information.

• Effective: October 26, 2024
• Promulgated Under: 119.03

(A) All casino operators, management companies, and holding companies must submit to the commission, in writing, the following information:

(1) Name changes;

(2) Changes to the state of incorporation or principal place of business;

(3) Changes regarding any individual required to be found suitable under rule 3772-4-05 of the Administrative Code;

(4) Changes regarding shareholders who hold greater than five per cent ownership interest;

(5) Any bankruptcy filed;

(6) Any arrest, charge, plea, or conviction relating to a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code for any crime or offense occurring in any jurisdiction, excluding minor misdemeanor traffic offenses;

(7) Any inquiry into, investigation of, or action filed against a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code by any gaming regulatory agency or authority, or other governmental agency or authority, except for routine renewal application reviews;

(8) Any rejection, suspension, revocation, or denial of any gaming-related application or license, and any fine, penalty, or settled amount relating to any gaming-related license imposed upon or agreed to by a casino operator, management company, holding company, or individual required to be found suitable under rule 3772-4-05 of the Administrative Code in any jurisdiction; and

(9) Any other information that would affect a casino operator's, management company's, or holding company's suitability to obtain and maintain a license under Chapter 3772. of the Revised Code or the rules adopted thereunder.

(B) Each casino operator, management company, and holding company must notify the commission of any key employee or casino gaming employee licensee whose employment has been terminated or suspended for any reason, by the casino operator, management company, or holding company.

(C) All information is required to be submitted within ten calendar days of the change or occurrence of the event.

Last updated October 29, 2024 at 8:16 AM

Supplemental Information

Authorized By: 3772.03, 3772.033
Amplifies: 3772.03, 3772.10
Five Year Review Date: 8/2/2026
Prior Effective Dates: 4/1/2012