Title 58--RECREATION
PENNSYLVANIA GAMING CONTROL BOARD
[58 PA. CODE CHS. 401, 405, 421, 423, 435, 441 AND 493]
Temporary Regulations
[36 Pa.B. 3939]
[Saturday, July 22, 2006]Under the Pennsylvania Gaming Control Board's (Board) Resolution Nos. 2005-3 REG, 2005-4 REG and 2006-4 REG, the Board has the authority to amend the temporary regulations adopted on June 16, 2005, July 21, 2005, and March 16, 2006, as it deems necessary in accordance with the purpose of the act of July 5, 2004 (P. L. 572, No. 71) (Act 71) and to further the intent of Act 71. Accordingly, the Board has decided to make editorial changes to the temporary regulations, dated June 16, 2005, July 21, 2005, and March 16, 2006, as deposited with the Legislative Reference Bureau (Bureau) and published at 35 Pa.B. 4045 (July 16, 2005), 35 Pa.B. 4543 (August 6, 2005) and 36 Pa.B. 1578 (April 1, 2006).
Therefore, the Board has deposited with the Bureau amendments to §§ 401.4, 401.5, 405.3, 421.1, 423.5, 435.1, 435.7, 441.19 and 493.5. The amendments are effective as of June 28, 2006. The temporary regulations of the Board in Chapters 401, 405, 421, 423, 435, 441 and 493 are amended by amending §§ 401.4, 401.5, 405.3, 421.1, 423.5, 435.1, 435.7, 441.19 and deleting § 493.5 to read as set forth in Annex A.
Order
The Board, acting under the authorizing statute, orders that:
(a) The Board, acting under the authority of Act 71, adopts the amendments to the temporary regulations adopted by resolution at the June 28, 2006, public meeting. The amendments to the temporary regulations pertain to definitions, the Bureau of Investigations and Enforcement, general licensing requirements, employees and hearings and appeals.
(b) The temporary regulations of the Board, 58 Pa. Code Chapters 401, 405, 421, 423, 435, 441 and 493, are amended by amending §§ 401.4, 401.5, 405.3, 421.1, 423.5, 435.1, 435.7, 441.19 and deleting 493.5 to read as set forth in Annex A, with ellipses referring to the existing text of the regulations.
(c) The amendments are effective June 28, 2006.
(d) The amendments to the temporary regulations shall be posted in their entirety on the Board's website and published in the Pennsylvania Bulletin.
(e) The Chairperson of the Board shall certify this order and deposit the amendments to the temporary regulations with the Bureau as required by law.
THOMAS A. DECKER,
ChairpersonFiscal Note: 125-35. No fiscal impact; (8) recommends adoption.
Annex A
TITLE 58. RECREATION
PART VII. GAMING CONTROL BOARD
Subpart A. GENERAL PROVISIONS
CHAPTER 401. PRELIMINARY PROVISIONS § 401.4. Definitions.
The following words and terms, when used in this part, have the following meanings, unless the context clearly indicates otherwise:
* * * * * Key employee qualifier--Officers; directors; persons who directly or indirectly hold any beneficial interest in or ownership of an amount equal to 5% or more of an equity interest of an applicant or licensee; a person who has the ability to control the applicant or licensee, has a controlling interest in the applicant or licensee, elects a majority of the board of directors of the applicant or licensee, or otherwise has the ability to control the applicant or licensee; a lender, other than a bank or lending institution which makes a loan or holds a mortgage or other lien acquired in the ordinary course of business; an underwriter, other than an underwriter who will hold a security for less than 90 days; a financial backer whose holdings are valued at an amount equal to 5% or more of an equity interest in the applicant or licensee including holders of convertible bonds, the conversion of which would or does result in the owner holding 5% or more of an equity interest in the applicant or licensee; employees of a slot machine applicant or licensee, manufacturer applicant or licensee or supplier applicant or licensee required to be licensed by the Board as a key employee qualifier; and any other person required to be licensed by the Board as a key employee qualifier.
* * * * * Publicly traded--An entity that meets one or more of the following criteria:
(i) The entity has a class or series of securities registered under the Securities Exchange Act of 1934 (15 U.S.C.A. §§ 78a--78nn).
(ii) The entity is a registered management company under the Investment Company Act of 1940 (15 U.S.C.A. §§ 80a-1--80a-64).
(iii) The entity is subject to the reporting obligations imposed by section 15(d) of the Securities Exchange Act of 1934 (15 U.S.C.A. § 78o(d)) by reason of having filed a registration statement which has become effective under the Securities Act of 1933 (15 U.S.C.A. §§ 77a--77aa).
(iv) The entity has one or more classes of securities traded in any open market in any foreign jurisdiction or regulated pursuant to a statute of any foreign jurisdiction that the Board determines to be substantially similar to either or both of the statutes referred in subparagraph (iii).
* * * * * § 401.5. Jurisdiction.
(a) The Board will have exclusive jurisdiction over all matters within the scope of its powers under the act.
(b) Nothing contained in this part shall be construed to limit the powers and duties of the Board as provided in the act.
CHAPTER 405. BUREAU OF INVESTIGATION AND ENFORCEMENT § 405.3. Office of Enforcement Counsel.
(a) The Office of Enforcement Counsel has been established within the Bureau which has the following powers and duties:
* * * * * (2) Make recommendations and objections relating to the issuance of licenses, certifications, permits and registrations.
* * * * * (5) Appear at administrative hearings and other proceedings before the Board.
* * * * *
Subpart B. LICENSING, REGISTERING, CERTIFYING AND PERMITTING CHAPTER 421. GENERAL PROVISIONS § 421.1. General requirements.
* * * * * (i) A person holding a license, permit, registration or certification issued by the Board who violates a provision of the act or this part may be held jointly or severally liable for the violation.
CHAPTER 423. APPLICATIONS § 423.5. Application withdrawal.
* * * * * (e) The Board may convert an incomplete application to a request for withdrawal.
(f) Unless the Board otherwise directs, fees or other payments relating to any application will not become refundable by reason of withdrawal of the application or any portion thereof.
CHAPTER 435. EMPLOYEES § 435.1. General provisions.
* * * * * (r) An individual regulated by this part shall demonstrate that he is current and not in arrears on any financial obligation owed to this Commonwealth or any subdivision thereof, including court-ordered child-support payments.
§ 435.7. Employee credentials.
* * * * * (g) Any employee whose license, permit, registration or certification has been revoked by the Board shall return the Board-issued credentials to the Board following receipt of the Board's final order revoking his license, permit, registration or certification.
Subpart C. SLOT MACHINE LICENSING
CHAPTER 441. SLOT MACHINE LICENSING § 441.19. Licensing hearings for slot machine licenses.
* * * * * (d) The Board will allot each applicant a specified time for its presentation. The length of the presentations, which shall be the same for each applicant within each category, will be established at the prehearing conferences.
* * * * * (n) Applicants are prohibited from relying upon or introducing new evidence, including witnesses' testimony, reports or exhibits, not identified under subsection (j) or (o), except in the following circumstances:
(1) Applicants may update or supplement evidence, including witnesses' testimony, reports or exhibits to respond to requests from the Board.
(2) Applicants may update or supplement evidence, including witnesses' testimony, reports or exhibits to respond to issues raised subsequent to the filing of the memorandum required by subsection (j) at a prehearing conference if the issues could not have been reasonably anticipated by the applicant.
* * * * *
Subpart H. PRACTICE AND PROCEDURE
CHAPTER 493. PLEADINGS § 493.5. (Reserved).
[Pa.B. Doc. No. 06-1310. Filed for public inspection July 21, 2006, 9:00 a.m.]
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