BASIS AND PURPOSE FOR RULE 3
The purpose of Rule 3 is to establish and provide the specific information required on license applications; to establish yearly license fees for each type of license; to establish nonrefundable application fees; to establish investigation fees for certain applicants and deposit procedures for investigation fees; to establish procedures for conducting background checks on applicants and other interested persons and assessing the costs of such background checks; to require certain information regarding the premises the applicant wishes to be licensed, and to provide a procedure for approval of modifications of such premises; and to provide for the issuance of conditional, temporary, and duplicate licenses. The statutory basis for Rule 3 is found in sections 12-47.1-201, C.R.S., 12-47.1-203, C.R.S., 12-47.1-302, C.R.S., and part 5 of article 47.1 of title 12, C.R.S.
RULE 3  APPLICATIONS, INVESTIGATIONS AND LICENSURE
47.1-302     Applications.
(1)    	An applicant for any type of license must apply on forms provided by the Division. Such application forms shall be completed under penalty of perjury. The application forms may include questions concerning the following:
(a)  	Personal background information;
(b)  	Financial information;
(c)    	Participation in legal or illegal activities in Colorado or other jurisdictions, including foreign countries;
(d)    	Criminal record information;
(e)    	Information concerning all pecuniary and equity interests in the applicant; and
(f)    	Other information as required.
The application forms shall be accompanied and supplemented by such documents and information as may be specified or required. Failure to supply the information requested within five days after the request has been made by the Division constitutes grounds for delaying consideration of the application.
(2)    	Renewal applications for manufacturer-distributor, operator, and retail licenses must be received by the Division 120 days before the expiration of the current license. Renewal applications for support employee and key employee licenses must be received by the Division 30 days before the expiration of the current license. Renewal applicants who fail to submit their completed applications when due shall not be considered to have made a timely and sufficient application for renewal, as such term is used in 24-4-104(7), C.R.S. (47.1-302(2) Perm. 10/30/96
47.1-303  License Fees.
A non-refundable license fee for a two-year license must accompany an application for licensure in the following amounts:   Eff  08/06/2008

(1)	Original and renewal Type 1 slot machine manufacturer or distributor license	$3,000.00	
(2)	Original and renewal Type 2 slot machine manufacturer or distributor license	$6,000.00	
(3)	Original and renewal Type 1 operator license	$3,000.00	
(4)	Original and renewal Type 2 operator license	$6,000.00	
(5)	Original and renewal Type 1 retail gaming license	$4,500.00	
(6)	Original and renewal Type 2 retail gaming license	$6,500.00	
(7)	Original key employee license	$250.00	
(8)	Original support employee license	$100.00	
(9)	Renewal key employee license	$200.00	
(10)	Renewal support employee license	$60.00	
(47.1-303(6 & 7) temp. 06/21/95, perm. 10/30/95) (47.1-303 temp. 7/1/96 perm. September 30, 1996, 47.1-303 (5 & 7) amended temp 07/01/00 perm 07/30/00)   Eff  08/06/2008
When a key employee license or support employee license expires prior to renewal, the applicant for re-licensure shall file an original license application and shall pay the fee for an original application, and the Division shall process the application as an original license application.   Eff  08/06/2008
The license fee may be pro-rated for any license issued for a term shorter than two years.   Eff  08/06/2008
The terms “Type 1” and “Type 2” shall have the same meaning as provided in Regulation 47.1-305.   Eff  08/06/2008
47.1-305    Investigation fees.
(1)  	All applicants for licenses and persons seeking approval of variation games of blackjack, poker, craps, roulette, blackjack-poker combination games and table games with electronic betting terminals, except support licenses, shall pay the costs of investigations into their backgrounds, suitability, and qualifications for licensure.   Eff  04/01/2007
(b)  	All such applicants shall also pay the Division for the following actual costs incurred in conducting the background investigations: transportation; lodging; meals, and other expenses associated with traveling; significant office expense; document reproduction costs, preparation time; time necessary for administration of the investigation (including additional staffing on a temporary basis); and other similar expenses incurred until the conclusion of the investigation.   Eff  04/01/2007
47.1-305.5     Table Game Review Fees
(2)    	The Director may authorize a brief review of each application for approval of a variation game of poker, blackjack, craps, roulette, blackjack-poker combination games and table games with electronic betting terminals to be conducted, at no cost to the applicant, to determine whether or not it is likely that the proposed game could lawfully be played in this state. After such determination has been made, the applicant shall be advised of the finding, which shall not be binding on the Director or the Commission. The applicant shall then be required to submit the required fee to the Division before the Division conducts any further review of the application.
(3)    	If the Director determines that it is necessary to conduct an investigation into the background and suitability of a person seeking approval of a variation game of poker, blackjack, craps, roulette, blackjack-poker combination games and table games with electronic betting terminals, such person shall be required to pay the fees specified by Rule 47.1-305. None of these games shall be approved until payment for the full amount of any negative deposit balance has been received from the person seeking approval of the variation game. (47.1-305.5 perm 10/30/97)

47.1-313     Licensed Premises - Location.
The square footage of a floor in any building shall be the rentable area of a floor. 
In calculating the area comprising the licensed premises on any floor, the licensee shall use the rentable area. The rentable area is computed by measuring to the inside finish of permanent outer building walls, or to the glass line if at least 50 percent of the outer building wall is glass, to the office side of corridors and/or permanent partitions, and to the center of partitions that separate the premises from adjoining rentable areas. No deductions can be made for columns and projections necessary to the building.
(3)    	On each floor of the building in which limited gaming will take place, the licensed premises shall consist of no more than two non-contiguous areas. Within the licensed premises, a licensee may arrange gaming equipment or devices in the discretion of the licensee without notice to the Division. Nothing in this section, however, shall be construed to permit violation of any fire safety, health or building codes by any licensee. The licensed premises must be clearly marked as such so that the patrons of each retail gaming establishment can readily discern the licensed premises.
47.1-318     Licenses Premises-Modification.
Any retail licensee may change the configuration of its licensed premises upon prior approval of the Division. Application to modify the licensed premises must be made on forms furnished by the Division. No application to modify the licensed premises of any licensee shall be approved unless the licensed premises as modified, meets all the requirements of article 47.1 of title 12, C.R.S., and the rules and regulations promulgated thereunder.
47.1-319     Temporary license.
(2)    	No licensee issued a temporary license pursuant to this article shall be entitled to receive any refund of the license fee submitted in connection with the license application.

47.1-325     Approval and field trial of variation games of poker, blackjack, craps, roulette,
      blackjack-poker combination games and table games with electronic betting terminals.
        Amended 3/16/2012	
 (3)  	The test period for new variation games shall not exceed 180 days, from the date offered for public play, during which time the Director or designee may amend the rules of play and may make minor modifications to the trial game. The Director may order termination of the test period at any time prior to the end of 180 days if, in the Director’s or designee’s discretion, the Director or designee determines:
(3.5)	EBTs, when utilized with approved games, are deemed in a field trial status for 90 days from the  date offered for public play. Unless the Director or designee terminates the field trial of such equipment for cause, authorization and approval for use of EBTs shall become effective at the conclusion of field trial. The Division shall determine field trial testing criteria specific to various EBTs or equipment. Where applicable, Colorado Gaming Regulations 47.1-1202 and 47.1-1203 shall apply to EBTs. Eff/ 3/16/2012
(6)    	While a new variation game is in field trial testing, the Division’s table games committee shall make a preliminary determination as to the legality of the game, no later than 90 days from when the game is offered for public play. If in the Division’s determination the game is lawful, the Division will notice and post rules for a rule making hearing. Any licensee, who agreed to field trial the game, may retain and play the game throughout the rule making hearing and final approval process, not to exceed 180 days. When rules are approved by the Commission and become effective, only then shall the game become available to all retail licensees to pursue acquisition of rights to offer the game.  Eff. 3/16/2012

BASIS AND PURPOSE FOR RULE 4
The purpose of Rule 4 is to specify the rights, responsibilities, and duties of licensees; specify certain duties of licensees related to permitting access to the Division of information, records, and premises controlled by the licensee; require licensees to maintain sufficient financial reserves; establish restrictions on the use of shills and proposition players; grant permission to use lammers; require that certain information be publicly posted; direct the licensee to prohibit certain conduct; and establish procedures for patron disputes, dissolution of corporations, transfers of interests and terminations of licensee employment or licensure. The statutory basis for Rule 4 is found in sections 12-47.1-201, C.R.S., 12-47.1-203, C.R.S., 12-47.1-301, C.R.S., and 12-47.1-503, C.R.S.
RULE 4    RIGHTS AND DUTIES OF LICENSEES
47.1-404   List of personnel.
Prior to opening for business, a retail licensee must furnish to the Director on a form, or other medium required by the Division, a list of all persons, including birth dates and social security numbers, employed by the retail licensee. Additionally, the retail licensee must by the first day of each month submit changes to its lists of employees, unless the Director, in writing, demands more frequent notification or allows less frequent notification.(amend perm 03/30/03)
47.1-405   Information to be furnished by licensee
(1)    	Reports and notices to the Division required by the Colorado Limited Gaming Act, or by the rules and regulations promulgated thereunder, must be made in writing, and must be submitted to the Division's main office in Golden, Colorado.
(3)    	Each licensed retailer, operator, manufacturer or distributor must immediately report to the Division the name, date of birth, and social security number of all persons who obtain an ownership, financial, or equity interest in the licensee of five percent or greater, or who have the ability to control the licensee, or who have the ability to exercise significant influence over the licensee, or who loan any money or other thing of value to the licensee. (47.1-405(3) perm. 10/30/99)
(4)    	Any person licensed by the Commission, and any associated person to a licensee, must make written notification to the Division of any criminal conviction and criminal charge pending against such person within ten days of such person's arrest, summons, or conviction. This notification requirement shall not apply to non-felony traffic violations unless they result in suspension or revocation of a driver's license, are based on allegations of driving under the influence or impairment of intoxicating liquor or drugs, or result in the person being taken into custody. Failure to make proper notification to the Division may be grounds for a disciplinary action. (47.1-405(3) temp. 10/30/91, perm. 1/30/92) (47.1-405(3) temp. 7/14/93, perm. 8/30/93) (47.1-405(4) perm. 10/30/99) (47.1-405(4) amended perm. 03/30/03)
(5)    	All licensed manufacturers, distributors, operators, and retailers must report to both the local Division office and the Division's Golden office on a form, or other medium, required by the Division, the movement of slot machines. This notification must be made by both the recipient and sender of devices on a weekly activity basis identifying any movement of devices to and from any location for that week. (47.1-405(4) perm. 12/30/94) (47.1-405(4) perm. 10/30/96) (47.1-405(5)perm. 10/30/99) amended perm. 03/30/03)
(6)    	All licensed manufacturers, distributors, operators, and retailers must report to the Division any discovered or suspected plan, scheme, design, device or other methods of cheating that may compromise the integrity of any gaming device sold or offered for sale, offered for play, or used for any other gaming purpose within the state of Colorado by such licensee. A report shall be made as soon as possible after the discovery of such cheating plan, scheme, design, device or method, but not later than 14 calendar days if the reporting licensee is a manufacturer or distributor, and not later than 7 days, if the reporting licensee is an operator or retailer. (47.1-405(6) perm. 10/30/99)
(a)    	The subject matter and reports of the investigation conducted hereunder shall be considered confidential pursuant to Section 12-47.1-527, C.R.S. as amended, except the Director may, as deemed necessary and prudent in the exercise of his discretion, take whatever steps deemed necessary to address or mitigate the cheating problem including disseminating a warning to other licensing jurisdictions or Colorado licensees about the cheating problem. (12-47.1-405 perm. 4/30/95)
(7)    	Notice of financial interest relationships required to be made pursuant to 12-47.1-835, C.R.S. shall be made following the procedures in paragraph (1), above. (47.1-405) added perm. (10/30/99)
47.1-412   Payment of Winners—Reserves.
All retail licensees shall at all times have available sufficient financial reserves promptly to pay winners of, or participants in, limited gaming activities conducted or offered by that retail licensee. Payment must be made to winners and participants by cash or by check drawn upon a bank, or other financial institution in Colorado, chartered by the State of Colorado or any other state or the United States Government, within 24 hours of any bona-fide demand by a winner or participant for payment. Any check issued by a retail licensee to any winner of a limited gaming activity must, at the time of issuance and until cashed or three months has expired (whichever is earlier), be backed by and drawn upon sufficient funds to cover the full amount of the check.
47.1-418   Special rules of conduct.
A retail licensee may establish rules of conduct for players and spectators on its licensed site. Any such rules must be posted. The Director shall have the authority to immediately terminate any or all of such rules in any retail establishment.
47.1-419   Procedure upon dissolution.
Upon dissolution of a corporation, partnership, or association, the licensee must return the license to the Commission within 10 days following the date of the dissolution.
47.1-426   Foreign gaming.
Any licensee, and any parent company or subsidiary company of the licensee, who has applied to a foreign jurisdiction for licensure or other permission to conduct gaming in such jurisdiction, or who possesses a license to conduct foreign gaming, shall notify the Division of such application. Upon request, the licensee shall make available to the Division all executed copies of all application forms and related documents filed with the foreign jurisdiction by or on behalf of the applicant or by any entity affiliated with the applicant. (amended 03/30/00)

BASIS AND PURPOSE FOR RULE 4.5
The purpose of Rule 4.5 is to establish specific reporting procedures and approval requirements for transfers of interests and other involvement with publicly traded corporations directly or indirectly involved in gaming in Colorado. The statutory basis for Rule 4.5 is found in sections 12-47.1-201, 12-47.1-203, 12-47.1-302, 12-47.1-504, 12-47.1-511, and 12-47.1-801, C.R.S. (1991).
RULE 4.5  PUBLICLY TRADED CORPORATIONS AND PUBLIC OFFERINGS OF SECURITIES
47.1-4.500   Incorporation by reference
(1)    	The Commission adopts as part of Rule 4.5 of the Colorado Gaming Regulations certain federal rules and forms referred to in this Rule 4.5. Such federal rules and forms are published by the Office of the Federal Register National Archives and Records Administration in full in the Code of Federal Regulations in 17 CFR 200-399 (Chapter II Securities and Exchange Commission 4-1-02 Edition). These federal rules and forms were promulgated pursuant to the following federal statutes: The Securities Act of 1933, 15 U.S.C.S. sections 77a-77bbbb; and the Securities Exchange Act of 1934, 15 U.S.C.S. Sections 78a-78pp. References are also made to the following federal statutes: The Investment Advisers Act of 1940, 15 U.S.C.S. Sections 80b-l through 80b-21; and the Employee Retirement Income Security Act of 1974, 29 U.S.C.S. Sections 1001 through 1461. This regulation does not include amendments to or later editions of the incorporated federal rules and forms found in the 4-1-02 edition of the Code of Federal Regulations.
(2)    	Certified copies of the complete text of the material incorporated are maintained at the Colorado Division of Gaming, 17301 West Colfax Ave., Suite 135, Golden, Colorado 80401, and may be inspected by contacting the Records Custodian at that address during normal business hours. The incorporated material may also be examined at any state publications depository library. Certified copies shall be provided at cost upon request.