<?xml version='1.0' encoding='utf-8'?>
<regulation prefix="Regulation" num=".04" citation="COMAR 36.10.02.04" title_num="36" subtitle_num="10" chapter_num="02" heading="Personal and Background Information.">
  <paragraph num="A.">
    <text>Except as otherwise provided in the Commission’s regulations, the application documents shall include the information required under §B of this regulation, for a person who is:</text>
    <paragraph num="(1)">
      <text>The applicant;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>A director, officer, or key management individual employed by the applicant;</text>
    </paragraph>
    <paragraph num="(3)">
      <text>A partner of the applicant;</text>
    </paragraph>
    <paragraph num="(4)">
      <text>Any other person who owns, controls, or directs a legal or beneficial interest of 5 percent or more in the applicant;</text>
    </paragraph>
    <paragraph num="(5)">
      <text>A principal;</text>
    </paragraph>
    <paragraph num="(6)">
      <text>A principal employee;</text>
    </paragraph>
    <paragraph num="(7)">
      <text>A principal entity;</text>
    </paragraph>
    <paragraph num="(8)">
      <text>A holding company of the applicant; or</text>
    </paragraph>
    <paragraph num="(9)">
      <text>An affiliate of the applicant.</text>
    </paragraph>
  </paragraph>
  <paragraph num="B.">
    <text>An individual listed under §A of this regulation shall furnish the individual’s:</text>
    <paragraph num="(1)">
      <text>Full name and any previous names or aliases;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>Date of birth;</text>
    </paragraph>
    <paragraph num="(3)">
      <text>Physical description;</text>
    </paragraph>
    <paragraph num="(4)">
      <text>Home and business addresses and telephone numbers;</text>
    </paragraph>
    <paragraph num="(5)">
      <text>Driver’s license number and state of issuance;</text>
    </paragraph>
    <paragraph num="(6)">
      <text>Social Security number;</text>
    </paragraph>
    <paragraph num="(7)">
      <text>Photograph in a type and size required by the Commission;</text>
    </paragraph>
    <paragraph num="(8)">
      <text>Fingerprints for a criminal records check:</text>
      <paragraph num="(a)">
        <text>For a State resident, from an electronic fingerprinting service approved by the Commission; or</text>
      </paragraph>
      <paragraph num="(b)">
        <text>For an out-of-State resident, one FBI and one State fingerprint card, taken within the previous 45 days before submission to the Commission; and</text>
      </paragraph>
    </paragraph>
    <paragraph num="(9)">
      <text>Any other document or information required by the Commission.</text>
    </paragraph>
  </paragraph>
  <paragraph num="C.">
    <text>A person listed under §A of this regulation that is not an individual shall furnish, with its application documents:</text>
    <paragraph num="(1)">
      <text>Pursuant to any applicable requirements of the Maryland State Department of Assessment and Taxation, evidence that the person is in good standing to conduct business in the State;</text>
    </paragraph>
    <paragraph num="(2)">
      <text>For a corporation, documentation showing the:</text>
      <paragraph num="(a)">
        <text>State in which the applicant is incorporated; and</text>
      </paragraph>
      <paragraph num="(b)">
        <text>Name and address of the applicant’s resident agent for service of process in Maryland; and</text>
      </paragraph>
    </paragraph>
    <paragraph num="(3)">
      <text>For a nonprofit corporation, only the information required under §B of this regulation for an individual who is a director or officer of the applicant.</text>
    </paragraph>
  </paragraph>
  <paragraph num="D.">
    <text>A licensee who has notified the Commission of an intended change in employment status shall provide the information as set forth in §B of this regulation.</text>
  </paragraph>
  <paragraph num="E.">
    <text>The Commission may require an applicant to furnish the information listed in §B of this regulation for the applicant’s family and associates.</text>
  </paragraph>
  <paragraph num="F.">
    <text>Inadvertent, nonsubstantive errors that might be made in furnishing the information required by this regulation may not be used as a reason by the Commission for disqualifying the applicant.</text>
  </paragraph>
</regulation>