Authority: IC 4-33-4; IC 4-35-4

Affected: IC 4-33; IC 4-35

Sec. 9.5. (a) This rule applies to all supplier licensees and applicants.

(b) All supplier licensees and applicants shall maintain, in a place secure from theft, loss, or destruction, adequate records of business operations. These records shall be held for at least five (5) years and shall include, but not be limited to, the following:

1. (1) All correspondence with or reports to the commission or to any local, state, or federal government agency.
2. (2) All financial statements or financial records of the supplier licensee or applicant.
3. (3) All records pertaining to products or services supplied by the supplier licensee or applicant to casino licensees or casino license applicants.
4. (4) All correspondence with casinos licensed under IC 4-33 or IC 4-35.
5. (5) Documentation relating to order, shipment, or receipt or provision of merchandise or services sold or provided under IC 4-33, IC 4-35, or this title.
6. (6) Personnel files on each employee of the supplier licensee or applicant, including sales representatives.

(c) All supplier licensees and applicants must produce the original or a copy, or both, of any records requested by the commission, enforcement agents, or persons authorized by the commission.

(d) No original book, record, or document that is required to be maintained by this section may be destroyed without prior approval of the executive director or the commission.

(Indiana Gaming Commission; 68 IAC 2-2-9.5; filed Dec 2, 2001, 12:35 p.m.: 25 IR 1061; filed Dec 6, 2006, 2:52 p.m.: 20070103-IR-068060191FRA; readopted filed Sep 14, 2007, 1:40 p.m.: 20071003-IR-068070354RFA; filed Jul 21, 2010, 2:21 p.m.: 20100818-IR-068100052FRA; readopted filed Nov 26, 2013, 3:58 p.m.: 20131225-IR-068130354RFA; readopted filed Sep 4, 2019, 10:57 a.m.: 20191002-IR-068190384RFA; readopted filed Nov 13, 2025, 2:46 p.m.: 20251210-IR-068240626RFA)