PURPOSE: The purpose of this rule is to set forth the character information required in an application for Class A license.

1. (1) An applicant for a Class A license must make its best effort to disclose the information required by this rule for any individual or other entity employed by the applicant, whether as an employee or an independent contractor.

2. (2) The applicant must disclose—

   1. (A) Whether any individual or corporation enjoying any interest in any application has been charged and/or convicted or entered a plea of guilty or nolo contendere to any charge in any criminal proceeding, and whether or not a sentence is imposed. If any individual or entity has been so charged and/or convicted, the applicant must disclose— 12 CSR 50-11

      1. 1. The date charged and/ or convicted or

entry of plea;

1. 2. The court;
2. 3. The offense charged or convicted of;
3. 4. If convicted, whether by plea or find-

ing of a judge or jury; and

1. 5. If convicted, the sentence imposed, if

any;

1. (B) Whether any individual or corporation has been a party in a civil proceeding in which s/he has been alleged to have engaged in any unfair or anti-competitive business practice, a securities violation or false or misleading advertising. If any individual or entity has been a party to the civil proceeding, the applicant must provide—

   1. 1. The date of commencement of the

proceeding;

1. 2. The court;
2. 3. The circumstances;
3. 4. The date of any resolution including

settlements;

1. 5. The terms of any settlement;
2. 6. The result of any trial; and
3. 7. The result of any appeal;

4. (C) Whether any individual or entity has had a horse racing, gambling or other business license or permit revoked or suspended or the renewal of the license denied or has been a party in any proceeding to do so. If any applicant or entity has been involved in a proceeding, the applicant must disclose—

   1. 1. The date of commencement;
   2. 2. The circumstances;
   3. 3. The date of decision; and
   4. 4. The result;

5. (D) Whether any individual or entity has been accused in an administrative or judicial proceeding of the violation of a statute or rule relating to unfair labor practices, discrimination, horse racing or gambling. If any individual or entity has been involved in any proceeding, the applicant must disclose—

   1. 1. The date of commencement;
   2. 2. The forum;
   3. 3. The circumstances;
   4. 4. The date of any decision; and
   5. 5. The result;

6. (E) Whether any individual or entity has commenced an administrative or judicial action against a government regulator of horse racing or gambling. If so, the applicant must disclose—

   1. 1. The date of commencement;
   2. 2. The forum;
   3. 3. The circumstances;
   4. 4. The date of any decision; and
   5. 5. The result;

7. (F) Whether any individual or entity has been the subject of voluntary or involuntary bankruptcy proceeding. If so, the applicant must disclose—

   1. 1. The date of commencement;
   2. 2. The form;
   3. 3. The circumstances;
   4. 4. The date of decision; and
   5. 5. The result;

8. (G) Whether any individual or entity has failed to satisfy any judgment, decree or order of any administrative or judicial tribunal. If so, the applicant must disclose—

   1. 1. The date; and
   2. 2. The circumstances surrounding the

failure; and

1. (H) Whether any individual or entity has been delinquent in filing a tax report required or remitting a tax imposed by any government. If so, the applicant must disclose—

   1. 1. The date the filing or tax report was

required;

1. 2. The date the filing or remission was

accomplished; and

1. 3. The complete circumstances sur-

rounding the delinquent filing or remission.

AUTHORITY: section 313.580, RSMo 1986.* Original rule filed June 17, 1986, effective Oct. 27, 1986. Amended: Filed June 6, 1989, effective Aug. 24, 1989.

*Original authority: 313.580, RSMo 1986.