CHAPTER 13
SPORTS WAGERING
491—13.1(99F) Definitions. As used in these rules, unless the context otherwise requires, the following definitions apply:
“Administrator” means the administrator of the racing and gaming commission or the administrator’s designee.
“Advance deposit sports wagering” means a method of sports wagering in which an eligible individual may, in an account established with a licensee under Iowa Code section 99F.7A, deposit moneys into the account and use the account balance to pay for sports wagering. Prior to January 1, 2021, an account must be established by an eligible individual in person with a licensee.
“Advance deposit sports wagering operator” means an advance deposit sports wagering operator licensed by the commission who has entered into an agreement with a licensee under Iowa Code section 99F.7A to provide advance deposit sports wagering.
“Authorized sporting event” means a professional sporting event, collegiate sporting event, international sporting event, or professional motor race event. “Authorized sporting event” does not include a race as defined in Iowa Code section 99D.2, a fantasy sports contest as defined in Iowa Code section 99E.1, minor league sporting event, or any athletic event or competition of an interscholastic sport as defined in Iowa Code section 9A.102.
“Collegiate sporting event” means an athletic event or competition of an intercollegiate sport as defined in Iowa Code section 9A.102.
“Commission” means the racing and gaming commission created under Iowa Code section 99D.5.
“Designated sports wagering area” means an area, as designated by a licensee and approved by the commission, in which sports wagering is conducted.
“Eligible individual” means an individual who is at least 21 years of age or older who is located within this state.
“Facility” means an entity licensed by the commission to conduct pari-mutuel wagering, gaming or sports wagering operations in Iowa.
“International sporting event” means an international team or individual sporting event governed by an international sports federation or sports governing body, including but not limited to sporting events governed by the international olympic committee and the international federation of association football.
“Licensee” means any person licensed under Iowa Code section 99F.7 or 99F.7A.
“Minor league sporting event” means a sporting event conducted by a sports league which is not regarded as the premier league in the sport as determined by the commission.
“Professional sporting event” means an event, excluding a minor league sporting event, at which two or more persons participate in sports or athletic events and receive compensation in excess of actual expenses for their participation in such event.
“Sports wagering” means the acceptance of wagers on an authorized sporting event by any system of wagering as authorized by the commission. “Sports wagering” does not include placing a wager on the performance or nonperformance of any individual athlete participating in a single game or match of a collegiate sporting event in which a collegiate team from this state is a participant, or placing a wager on the performance of athletes in an individual international sporting event governed by the international olympic committee in which any participant in the international sporting event is under 18 years of age.
“Sports wagering net receipts” means the gross receipts less winnings paid to wagerers on sports wagering.
[ARC 4618C, IAB 8/28/19, effective 7/31/19]
491—13.2(99F) Conduct of all sports wagering.
	13.2(1) Commission policy. It is the policy of the commission to require that all industry participants conduct sports wagering in a manner suitable to protect the public health, safety, morals, good order, and general welfare of the state. Responsibility for selecting, implementing, and maintaining suitable methods of operation rests with the facility, vendor, and advance deposit sports wagering operator. Willful or persistent use or toleration of methods of operation deemed unsuitable in the sole discretion of the commission will constitute grounds for disciplinary action, up to and including revocation.
	13.2(2) Activities prohibited. A facility, vendor, or advance deposit sports wagering operator is expressly prohibited from the following activities:
	a. 	Failing to conduct advertising and public relations activities in accordance with decency, dignity, good taste, and honesty.
	b. 	Failing to comply with or make provision for compliance with all federal, state, and local laws and rules pertaining to the operation of a facility or advance deposit sports wagering operation including, but not limited to, payment of license fees, withholding payroll taxes, and violations of alcoholic beverage laws or regulations.
	c. 	Permitting cheating, failing to discover cheating that should have been discovered with reasonable inquiry, or failing to take action to prevent cheating.
	d. 	Failing to conduct sports wagering operations in accordance with proper standards of custom, decorum, and decency; or permitting any type of conduct that reflects negatively on the state or commission or acts as a detriment to the sports wagering industry.
	e. 	Performing any type of sports wagering activity, at any time, that is contrary to the representation made to the commission, commission representatives, or the public.
	f. 	Denying a commissioner or commission representative, upon proper and lawful demand, information, documents, or access to inspect any portion of the sports wagering operation.
	13.2(3) Wagers. Wagers may only be made by persons 21 years of age or older and on activities authorized pursuant to Iowa Code chapter 99F which are approved by the commission.
	13.2(4) Public notice. The public shall have access to the sports wagering rules, available wagers, odds or payouts, the payout period, and the source of the information used to determine the outcome of a sports wager. All licensees and advance deposit sports wagering operators shall require participants to follow the rules of play. The sports wagering rules shall be:
	a. 	Displayed in the licensee’s sports wagering area.
	b. 	Posted on the internet site or mobile application used to conduct advance deposit sports wagering.
	c. 	Included in any terms and conditions disclosure statements of the advance deposit sports wagering system.
	13.2(5) Bond. A licensee shall post a bond or irrevocable letter of credit, at an amount determined by the commission, to the state of Iowa to guarantee that the licensee and any vendor or advance deposit sports wagering operator licensed in conjunction with the licensee faithfully makes the payments, keeps its books and records and makes reports, and conducts its gambling games and sports wagering in conformity with Iowa Code chapter 99F and the rules adopted by the commission.
	13.2(6) Reserve. A reserve in the form of cash or cash equivalents segregated from operational funds, an irrevocable letter of credit, payment processor reserves and receivables, a bond, or a combination thereof, shall be maintained in the amount necessary to cover the outstanding sports wagering liability. An accounting of this reserve shall be made available for inspection to the commission upon request. The method of reserve shall be submitted to and approved by the administrator prior to implementation.
	13.2(7) Internal controls. Licensees and advance deposit sports wagering operators shall submit a description of internal controls to the administrator. The submission shall be made at least 30 days before sports operations are to commence unless otherwise approved by the administrator. All internal controls must be approved by the administrator prior to commencement of sports operations. The operator shall submit to the administrator any changes to the internal controls previously approved at least 15 days before the changes are to become effective unless otherwise directed by the administrator. It shall be the affirmative responsibility and continuing duty of each licensee and advance deposit sports wagering operator and their employees to follow and comply with all internal controls. The submission shall include controls and reasonable methods that provide for the following:
	a. 	To prohibit wagering by coaches, athletic trainers, officials, players, or other individuals who participate in an authorized sporting event in which wagers may be accepted.
	b. 	To prohibit wagering by persons who are employed in a position with direct involvement with coaches, players, athletic trainers, officials, athletes or participants in an authorized sporting event in which wagers may be accepted.
	c. 	To promptly report to the commission any criminal or disciplinary proceedings commenced against the licensee or its employees.
	d. 	To promptly report to the commission any abnormal wagering activity or patterns that may indicate a concern about the integrity of an authorized sporting event or events, and any other conduct with the potential to corrupt a wagering outcome of an authorized sporting event for purposes of financial gain, including but not limited to match fixing, and suspicious or illegal wagering activities, including the use of funds derived from illegal activity, wagers to conceal or launder funds derived from illegal activity, use of agents to place wagers, or use of false identification. Integrity-monitoring procedures shall also provide for the sharing of information with other licensees, other governing authorities, and accredited sports governing entities by participating in an integrity-monitoring association or group or by another method as approved by the administrator.
	e. 	To report within 72 hours any incident where an employee or customer is detected violating a provision of Iowa Code chapter 99F, a commission rule or order, or internal controls. In addition to the written report, the licensee or advance deposit sports wagering operator shall provide immediate notification to the commission if an incident involves employee theft, criminal activity, Iowa Code chapter 99F violations or sports wagering receipts.
	f. 	The segregation of incompatible functions so that no employee is in a position to perpetrate and conceal errors or irregularities in the normal course of the employee’s duties.
	g. 	User access controls for all sensitive and secure, physical and virtual, areas and systems within a sports wagering operation.
	h. 	Treatment of problem gambling by:
	(1)	Identifying problem gamblers.
	(2)	Complying with the process established by the commission pursuant to Iowa Code section 99F.4(22) and 491—subrule 5.4(12).
	(3)	Cooperating with the Iowa gambling treatment program in creating and establishing controls.
	(4)	Making available to customers, patrons, and bettors a substantial number of the Iowa gambling treatment program advertisements and printed materials.
	i. 	Setoff winnings of customers who have a valid lien established under Iowa Code chapter 99F.
	13.2(8) Revenue reporting. Reports generated from the sports wagering system shall be made available as determined by the commission. The reporting system shall be capable of issuing reports by wagering day, wagering month, and wagering year. Wagering data shall not be purged unless approved by the commission. The reporting system shall provide for a mechanism to export the data for the purposes of data analysis and auditing or verification. The reporting system shall be able to provide, at a minimum, the following sports wagering information:
	a. 	The date and time each event started and ended.
	b. 	Total amount of wagers collected.
	c. 	Total amount of winnings paid to players.
	d. 	Total amount of wagers canceled, voided, and expired.
	e. 	Commission or fees collected.
	f. 	Total value of promotional play or free play used to purchase or execute a sports wager.
	g. 	Event status.
	h. 	Total amount held by the operator for the player accounts.
	i. 	Total amount of wagers placed on future events.
	j. 	Total amount of winnings owed but unpaid by the operator on winning wagers.
	13.2(9) Unclaimed winnings and abandoned accounts. Unclaimed winnings and abandoned accounts are subject to the following requirements:
	a. 	Unclaimed winnings of over 90 days at the close of a licensee’s fiscal year shall be disallowed as a deduction from gross receipts for the calculation of sports wagering net receipts for the sports wagering tax.
	b. 	Abandoned player accounts under this rule are subject to Iowa Code chapter 556.
	c. 	Player accounts are considered abandoned if no activity by the account holder has occurred for three years. Player activity includes making a wager, making an account deposit, or withdrawing funds.
	d. 	No licensee or advance deposit sports wagering operator shall charge an administration fee or maintenance fee for any inactive player account derived from state of Iowa residents at any time for any reason.
[ARC 4618C, IAB 8/28/19, effective 7/31/19; see Suspension note at end of chapter]
491—13.3(99F) Approval of sports wagers.
	13.3(1) Approval. Prior to offering a sports wager, a facility or advance deposit sports wagering operator shall request that the administrator investigate and approve the sports wager for compliance with commission rules and any other standards as required by the commission. The administrator may require the facility or advance deposit sports wagering operator, at the facility’s or operator’s own expense, to provide additional information as deemed necessary to make a determination. Prior to approval, the administrator may require a trial period of any sports wager offering. Once a sports wager is approved by the administrator, unless it is subsequently disapproved for any reason deemed appropriate by the administrator, the sports wager is available for all operators under the conditions approved and subject to subrule 13.3(2).
	13.3(2) Sports wager submissions. Prior to conducting a sports wager approved pursuant to subrule 13.3(1), a licensee or advance deposit sports wagering operator shall submit proposals for the wager, including but not limited to wagering rules, payout information, source of the information used to determine the outcome of the sports wager, and any restrictive features of the wager. The sports wager submission, or requests for modification to an approved wager, shall be submitted in writing and approved by the administrator prior to implementation.
	13.3(3) Sports promotional contests, tournaments, or promotional activities. Sports promotional contests, tournaments, or promotional activities may be permitted by the licensee, vendor, or advance deposit sports wagering operator providing the following:
	a. 	Rules shall be made available to participants for review prior to registering. Rules shall include, at a minimum: all conditions registered players must meet to qualify to enter or advance through the event, available prizes or awards, fees, and distribution of prizes or awards based on specific outcomes.
	b. 	Rules are followed. Changes to rules shall not be made after participants have registered.
	c. 	Results shall be made available for the registered players to review at the same location at which or in the same manner in which players registered. Results shall include, at a minimum: name of the event, date of the event, total number of entries, amount of entry fees, total prize pool, and amount paid for each winning category.
	d. 	Fees collected, less cash prizes paid, are subject to the wagering taxes pursuant to Iowa Code section 99F.11(4). In determining sports wagering net receipts, to the extent that cash prizes paid out exceed fees collected, the licensee or advance deposit sports wagering operator shall be deemed to have paid the fees for the participants.
	e. 	There is compliance with all other federal, state, and local laws and rules outside of the commission’s jurisdiction.
[ARC 4618C, IAB 8/28/19, effective 7/31/19]
491—13.4(99F) Designated sports wagering area. A floor plan identifying the designated sports wagering area, including the location of any wagering kiosks, shall be filed with the administrator for review and approval. Modification to a previously approved plan must be submitted for approval at least ten days prior to implementation. A sign shall denote that the area is not accessible to persons under the age of 21. Exceptions to this rule must be approved in writing by the administrator. The sports wagering area is subject to compliance with 491—subrule 5.4(7).
[ARC 4618C, IAB 8/28/19, effective 7/31/19]
491—13.5(99F) Advance deposit sports wagering.
	13.5(1) Authorization to conduct advance deposit sports wagering. A licensee or advance deposit sports wagering operator shall receive specific authorization from the commission to conduct advance deposit sports wagering prior to conducting advance deposit sports wagering. The granting of an advance deposit sports wagering license or approval of any agreements between a licensee and an advance deposit sports wagering operator to conduct advance deposit sports wagering does not constitute authorization. Any entity authorized to conduct advance deposit sports wagering is expected to comply with all requirements of this chapter, except for rule 491—13.4(99F), and all other applicable federal, state, local, and commission requirements.
	13.5(2) Account registration. A person must have an established account in order to place advance deposit sports wagers. Prior to January 1, 2021, an account shall be established at the facility as required by Iowa Code section 99F.9(3A) with a process approved by the administrator. To establish an account, an application for an account shall be signed or otherwise authorized in a manner approved by the administrator and shall include the applicant’s full legal name, principal residential address, date of birth, and any other information required by the administrator. The account registration process shall also include:
	a. 	Age verification to prevent persons under the legal age for sports wagering from establishing an account.
	b. 	Player verification of legal name, physical address, and age to correctly identify account holders.
	c. 	Verification that the player is not on the statewide self-exclusion list set forth in Iowa Code section 99F.4(22) prior to establishing an account.
	d. 	Availability and acceptance of a set of terms and conditions that is also readily accessible to the player before and after registration and noticed when updated. Notices shall include, at a minimum, the following:
	(1)	Explanation of rules in which any unrecoverable malfunctions of hardware/software are addressed including, but not limited to, if the unrecoverable malfunction, wagering event cancellation, or other catastrophic malfunction results in the voiding of any wagers.
	(2)	Procedures to deal with interruptions caused by the suspension of data flow from the network server during an event.
	(3)	Specifications advising players to keep their account credentials secure.
	(4)	Statement that no underage individuals are permitted to participate in wagering.
	(5)	Statement that only players legally permitted by their respective jurisdictions can participate in wagering.
	(6)	Explanation of conditions under which an account is declared inactive and actions undertaken on the account once this declaration is made.
	e. 	Availability and acceptance of a privacy policy that is also readily accessible to the player before and after registration and noticed when updated and that includes, at a minimum, the following:
	(1)	Statement of information that is collected, the purpose for information collection, and the conditions under which information may be disclosed.
	(2)	Statement that any information obtained in respect to player registration or account establishment must be done in compliance with the privacy policy.
	(3)	Requirement that any information about player accounts which is not subject to disclosure pursuant to the privacy policy must be kept confidential, except where the release of that information is required by law.
	(4)	Requirement that all player information must be securely erased from hard disks, magnetic tapes, solid state memory, and other devices before the device is properly disposed of by the licensee. If erasure is not possible, the storage device must be destroyed.
	13.5(3) Operation of an account. The advance deposit sports wagering operator or a licensee shall submit controls, approved by the commission, that include the following for operating an account:
	a. 	Specific procedures and technology partners to fulfill the requirements set forth in subrule 13.5(2).
	b. 	Location detection procedures to reasonably detect and dynamically monitor the location of a player attempting to place any wager. A player outside the permitted boundary shall be rejected, and the player shall be notified. The confidence radius shall be entirely located within the permitted boundary.
	c. 	Specific controls set forth in subrule 13.2(7).
	d. 	Limitation of one active account, per individually branded website, at a time unless otherwise authorized by the commission.
	e. 	Authentication for log in through a username and password or other secure alternative means as authorized by the commission. Processes for retrieving lost usernames and passwords shall be available, secure, and clearly disclosed to the player. Players shall be allowed to change their passwords.
	f. 	Immediate notification to the player when changes are made to any account used for financial transactions or to registration information or when financial transactions are made unless other notification preferences are established by the player.
	g. 	Process to immediately notify a player and lock an account in the event that suspicious activity is detected. A multifactor authentication process must be employed for the account to be unlocked.
	h. 	Process to easily and prominently impose limitations or notifications for wagering parameters including, but not limited to, deposits and wagers. Upon receipt, any self-imposed limitations must be employed correctly and immediately as indicated to the player. No changes can be made reducing the severity of the self-imposed limitations for at least 24 hours.
	i. 	Process to easily and prominently self-exclude from wagering for a specified period of time or indefinitely and easily and obviously direct participants, via a link, to exclude themselves pursuant to Iowa Code section 99F.4(22). Upon receipt, any self-exclusion limitations must be employed correctly and immediately as indicated to the player. No changes can be made to reduce the severity of the self-exclusion limitations for at least 24 hours. In the event of indefinite self-exclusion, the advance deposit sports wagering operator or licensee must ensure that the players are paid in full for their account balance within a reasonable time provided that the advance deposit sports wagering operator or licensee acknowledges that the funds have cleared. This control does not supersede the requirements set forth in Iowa Code section 99F.4(22).
	j. 	Process to review and deactivate accounts of newly enrolled participants of the statewide self-exclusion program set forth in Iowa Code section 99F.4(22). The operator must ensure that players are paid in full for their account balance within a reasonable time provided that the operator acknowledges that the funds have cleared.
	k. 	Provide for an easy and obvious method for a player to make a complaint and to enable the player to notify the commission if such complaint has not been or cannot be addressed by the advance deposit sports wagering operator or licensee.
	13.5(4) Account funds. The following requirements apply to the maintenance of funds associated with a player account:
	a. 	Positive player identification, including any PIN entry or other approved secure methods, must be completed before the withdrawal of any moneys held by the advance deposit sports wagering operator or licensee can be made.
	b. 	Payments from an account are to be paid directly to an account with a financial institution in the name of the player or made payable to the player and forwarded to the player’s address or through another method that is not prohibited by state or federal law.
	c. 	An advance deposit sports wagering operator or licensee must have in place security or authorization procedures to ensure that only authorized adjustments can be made to player accounts and that changes are auditable.
	d. 	It shall not be possible to transfer funds between two player accounts.
	e. 	An advance deposit sports wagering operator or licensee shall provide a transaction log or account statement history to players upon request. Information provided shall include sufficient information to allow players to reconcile the statement or log against their own financial records.
	f. 	Requests for withdrawals shall not be unreasonably withheld and shall be completed in a timely manner.
	13.5(5) Annual audit. An audit of the advance deposit sports wagering operations for the advance deposit sports wagering operator or licensee or parent company of the advance deposit sports wagering operator or licensee shall be conducted by certified public accountants authorized to practice in the state of Iowa and provided to the commission within 90 days of the licensee’s fiscal year and meet the following conditions:
	a. 	Inclusion of an internal control letter, audited balance sheet, and audited profit-and-loss statement including a breakdown of expenditures and subsidiaries of advance deposit sports wagering activities.
	b. 	Inclusion of a supplement schedule indicating financial activities on a calendar-year basis if the advance deposit sports wagering operator’s or licensee’s fiscal year does not correspond to the calendar year.
	c. 	Report of any material errors or irregularities that may be discovered during the audit.
	d. 	Availability, upon request, of an engagement letter for the audit between the advance deposit sports wagering operator or licensee or parent company of the advance deposit sports wagering operator or licensee and the auditing firm.
[ARC 4618C, IAB 8/28/19, effective 7/31/19]
491—13.6(99F) Testing.
	13.6(1) Initial testing. All equipment and systems integral to the conduct of sports wagering and advance deposit sports wagering shall be tested and certified for compliance with commission rules and the standards required by a commission-designated independent testing laboratory. Certification and commission approval must be received prior to the use of any equipment or system to conduct sports wagering. The commission may designate more than one independent testing laboratory.
	13.6(2) Change control. The licensees and advance deposit sports wagering operators shall submit change control processes that detail evaluation procedures for all updates and changes to equipment and systems to the administrator for approval. These processes shall include details for identifying criticality of updates and determining of submission of updates to an independent testing laboratory for review and certification.
	13.6(3) Annual testing.
	a. 	A system integrity and security risk assessment shall be performed annually on the sports wagering and advance deposit sports wagering system.
	(1)	The testing organization must be independent of the licensee and shall be qualified by the administrator.
	(2)	The system integrity and security risk assessment shall be conducted no later than 90 days after the start of the licensee’s fiscal year.
	(3)	Results from the risk assessment shall be submitted to the administrator no later than 30 days after the assessment is conducted.
	b. 	At the discretion of the administrator, additional assessments or specific testing criteria may be required.
[ARC 4618C, IAB 8/28/19, effective 7/31/19]
491—13.7(99F) Licensing.
	13.7(1) Application and payment of fee. The commission shall, upon payment of an initial license fee of $45,000 and submission of an application consistent with the requirements of Iowa Code section 99F.6, issue a license to conduct sports wagering to a facility.
	13.7(2) Application procedure for a facility. Application for a license for a facility to conduct sports wagering shall be made to the commission. In addition to the application, the following must be completed and presented when the application is filed:
	a. 	Name of the entity to be licensed by the commission to conduct sports wagering operations in Iowa.
	b. 	Disclosure of agreements with entities to manage or operate sports wagering with or on behalf of the facility.
	c. 	Disclosure of operating agreements for up to two individually branded internet sites to conduct advance deposit wagering for the facility.
	d. 	Compliance with Iowa Code section 99F.6(4)“a”(2) and (3) requirements for qualified sponsoring organizations or horse racing purses.
	e. 	A bond or irrevocable letter of credit on behalf of the facility in an amount to be determined by the commission.
	f. 	A bank or cashier’s check made payable to Iowa Racing and Gaming Commission for $45,000 for an initial license or $10,000 for a renewal license.
	13.7(3) Application procedure for an advance deposit sports wagering operator. Application for a license for an advance deposit sports wagering operator with an agreement with a facility shall be made to the commission for approval by the administrator. In addition to the application, the following must be completed and presented when the application is filed:
	a. 	Disclosure of ownership interest, directors, or officers of applicant.
	(1)	An applicant or licensee shall notify the administrator of the identity of each director, corporate officer, owner, partner, joint venture participant, trustee, or any other person who has any beneficial interest of 5 percent or more, direct or indirect, in the business entity. For any of the above, as required by the administrator, the applicant or licensee shall submit background information on forms supplied by the division of criminal investigation and any other information the administrator may require.
For purposes of this rule, the term “beneficial interest” includes all direct and indirect forms of ownership or control, voting power, or investment power held through any contract, lien, lease, partnership, stockholding, syndication, joint venture, understanding, relationship (including family relationship), present or reversionary right, title or interest, or otherwise.
	(2)	For ownership interests of less than 5 percent, the administrator may request a list of these interests. The list shall include names, percentages owned, addresses, social security numbers, and dates of birth. The administrator may request the same information required of those individuals in subparagraph 13.7(3)“a”(1) above.
	b. 	Investigative fees.
	(1)	Advance payment. The department of public safety may request payment of the investigative fee in advance as a condition to beginning investigation.
	(2)	Payment required. The administrator may withhold final action with respect to any application until all investigative fees have been paid in full.
	c. 	A copy of each of the following:
	(1)	List of employees of the aforementioned who may have contact with persons within the state of Iowa.
	(2)	Agreement with facility to operate or manage the advance deposit sports wagering operation.
	d. 	Any and all changes in the applicant’s legal structure, directors, officers, or the respective ownership interests must be promptly filed with the administrator.
	e. 	The administrator may deny, suspend, or revoke the license of an applicant or licensee in which a director, corporate officer, or holder of a beneficial interest includes or involves any person or entity which would be, or is, ineligible in any respect, such as through want of character, moral fitness, financial responsibility, professional qualifications, or due to failure to meet other criteria employed by the administrator, to participate in gaming regardless of the percentage of ownership interest involved. The administrator may order the ineligible person or entity to terminate all relationships with the licensee or applicant, including divestiture of any ownership interest or beneficial interest at acquisition cost.
	f. 	Disclosure of the full nature and extent of all beneficial interests may be requested by the administrator and shall include the names of individuals and entities, the nature of their relationships, and the exact nature of their beneficial interest.
	g. 	Public disclosure is made for the benefit of the public, and documents pertaining to the ownership filed with the administrator shall be available for public inspection in accordance with 491—Chapter 3.
	13.7(4) Supplementary information. Each applicant shall promptly furnish the administrator with all additional information pertaining to the application or the applicant which the administrator may require. Failure to supply the requested information within five days after the request has been received by the applicant shall constitute grounds for delaying consideration of the application.
	13.7(5) Temporary license certificates.
	a. 	A temporary license certificate may be issued at the discretion of the administrator.
	b. 	Any temporary license certificate issued at the discretion of the administrator shall be valid for a maximum of 120 calendar days from the date of issue. Failure to obtain a permanent license within the designated time may result in revocation of license eligibility, fine, or suspension.
	13.7(6) Withdrawal of application.  A written notice of withdrawal of application may be filed by an applicant at any time prior to final action. No application shall be permitted to be withdrawn unless the administrator determines the withdrawal to be in the public interest. No fee or other payment relating to any application shall become refundable by reason of withdrawal of the application.
	13.7(7) Record keeping.
	a. 	Record storage required. Licensees and advance deposit sports wagering operators shall maintain adequate records of business operations, which shall be made available to the administrator upon request. These records shall include:
	(1)	All correspondence with the administrator and other governmental agencies on the local, state, and federal level.
	(2)	All correspondence between the licensee and advance deposit sports wagering operators and any of their customers who are applicants or licensees under Iowa Code chapter 99F.
	(3)	A personnel file on each employee of the licensee and advance deposit sports wagering operator, including sales representatives.
	(4)	Financial records of all transactions with facilities and all other licensees and advance deposit sports wagering operators under these rules.
	b. 	Record retention. Records other than those listed in subrule 13.2(8) shall be retained as required by 491—subrule 5.4(14).
	13.7(8) Violation of laws or regulations. Violation of any provision of any laws of the state or of the United States of America or of any rules of the commission may constitute an unsuitable method of operation, subjecting the licensee to limiting, conditioning, restricting, revoking or suspending the license, or fining the licensee or advance deposit sports wagering operator, or any combination of the above. The commission has the discretion to suspend mobile gaming operations of its licensees by written order if necessary.
[ARC 4618C, IAB 8/28/19, effective 7/31/19]
These rules are intended to implement Iowa Code chapters 99D and 99F as amended by 2019 Iowa Acts, Senate File 617.
[Filed Emergency ARC 4618C, IAB 8/28/19, effective 7/31/19]1
1	Applicability of paragraph 13.2(7)“i” suspended until the adjournment of the 2020 session of the General Assembly by the Administrative Rules Review Committee at its meeting held August 12, 2019.