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This entry was published on 2014-09-22
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Required regulations
Racing, Pari-Mutuel Wagering and Breeding Law (PML) CHAPTER 47-A, ARTICLE 13, TITLE 1
§ 1307. Required regulations. 1. The commission is authorized:

(a) to adopt, amend or repeal such regulations, consistent with the
policy and objectives of this article, as amended and supplemented, as
it may deem necessary to protect the public interest in carrying out the
provisions of this article; and

(b) to adopt, amend or repeal such regulations as may be necessary for
the conduct of hearings before the commission and for the matters within
all other responsibilities and duties of the commission imposed by this

2. The commission shall, without limitation, include the following
specific provisions in its regulations in accordance with the provisions
of this article:

(a) prescribing the methods and forms of application and registration
which any applicant or registrant shall follow and complete;

(b) prescribing the methods, procedures and form for delivery of
information concerning any person's family, habits, character,
associates, criminal record, business activities and financial affairs;

(c) prescribing such procedures for the fingerprinting of an
applicant, employee of a licensee, or registrant, and methods of
identification which may be necessary to accomplish effective
enforcement of restrictions on access to the casino and other restricted
casino areas of the gaming facility;

(d) prescribing the method of notice to an applicant, registrant or
licensee concerning the release of any information or data provided to
the commission by such applicant, registrant or licensee;

(e) prescribing the manner and procedure of all hearings conducted by
the commission or any presiding officer;

(f) prescribing the manner and method of collection of payments of
taxes, fees, interest and penalties;

(g) defining and limiting the areas of operation, the rules of
authorized games, odds, and devices permitted, and the method of
operation of such games and devices;

(h) regulating the practice and procedures for negotiable transactions
involving patrons, including limitations on the circumstances and
amounts of such transactions, and the establishment of forms and
procedures for negotiable instrument transactions, redemptions, and

(i) prescribing grounds and procedures for the revocation or
suspension of operating certificates, licenses and registrations;

(j) governing the manufacture, distribution, sale, deployment, and
servicing of gaming devices and equipment;

(k) prescribing for gaming operations the procedures, forms and
methods of management controls, including employee and supervisory
tables of organization and responsibility, and minimum security and
surveillance standards, including security personnel structure, alarm
and other electrical or visual security measures; provided, however,
that the commission shall grant an applicant broad discretion concerning
the organization and responsibilities of management personnel who are
not directly involved in the supervision of gaming operations;

(l) prescribing the qualifications of, and the conditions pursuant to
which, engineers, accountants, and others shall be permitted to practice
before the commission or to submit materials on behalf of any applicant
or licensee;

(m) prescribing minimum procedures for the exercise of effective
control over the internal fiscal affairs of a licensee, including
provisions for the safeguarding of assets and revenues, the recording of
cash and evidence of indebtedness, and the maintenance of reliable
records, accounts, and reports of transactions, operations and events,
including reports to the commission;

(n) providing for a minimum uniform standard of accountancy methods,
procedures and forms; a uniform code of accounts and accounting
classifications; and such other standard operating procedures, as may be
necessary to assure consistency, comparability, and effective disclosure
of all financial information, including calculations of percentages of
profit by games, tables, gaming devices and slot machines;

(o) requiring quarterly financial reports and the form thereof, and an
annual audit prepared by a certified public accountant licensed to do
business in this state, attesting to the financial condition of a
licensee and disclosing whether the accounts, records and control
procedures examined are maintained by the licensee as required by this
article and the regulations promulgated hereunder;

(p) governing the gaming-related advertising of licensees, their
employees and agents, with the view toward assuring that such
advertisements are not deceptive; and

(q) governing the distribution and consumption of alcoholic beverages
on the premises of the licensee.

3. The commission shall, in its regulations, prescribe the manner and
procedure of all hearings conducted by the commission.