Additional records to be made and retained by casinos - 31 CFR 1021.410

Pursuant to 31 CFR 1021.410(a), with respect to each deposit of funds, account opened, or line of credit extended, a casino is required to secure and maintain a record of the name, permanent address (address), and Social Security number (SSN) of the person involved at the time the funds are deposited, the account is opened, or credit is extended. Where the deposit, account, or line of credit is in the name of two or more persons, the casino must secure the name, address, and SSN of each person having a financial interest in the deposit, account, or line of credit. The casino is required to verify the name and address of such person(s) at the time the deposit is made, the account is opened, or credit is extended, by the examination of a document as described in 31 CFR 1010.312. The specific identifying information relied upon must be recorded by the casino in the manner described in 31 CFR 1010.312. If a casino is unable to secure the required SSNs, the casino will not be deemed to be in violation of 31 CFR 1021.410 if the casino has made reasonable efforts to secure the SSNs, and it maintains a list of the names and addresses of those persons from whom the casino was unable to obtain the SSNs. Pursuant to 31 CFR 1021.410(b), casinos must retain either the original or a copy of each of the following: (1) a record of each time the casino receives funds for credit to, or deposit into, any person’s account, including the name, address, and SSN of the person from whom the casino receives the funds, the date of receipt of the funds and the amount received; (2) a record of each bookkeeping entry made to a customer’s deposit or credit account with the casino; (3) each statement, ledger card, or other record of each deposit or credit account with the casino, showing each transaction in or with respect to a customer’s account with the casino; (4) a record of each extension of credit in excess of $2,500, the terms and conditions of each such extension of credit, and repayments, and the customer’s name, address, SSN, and the date and amount of the transaction (including repayments); (5) a record of each advice, request or instruction received or given by the casino with respect to a transaction involving a person, account, or place outside the United States; (6) records prepared or received by the casino in the ordinary course of business that would be needed to reconstruct a person’s deposit or credit account with the casino or that would be needed to trace a check deposited with the casino through the casino’s records to the bank of deposit; (7) all records, documents, or manuals required to be maintained by a casino under state and local laws or regulations, and regulations of any governing Indian tribe or tribal government; (8) all records which are prepared or used by a casino to monitor a customer’s gaming activity; (9) a separate record containing a list of each transaction between the casino and its customers involving the following types of instruments having a face value of $3,000 or more: (i) personal checks; (ii) business checks; (iii) official bank checks; (iv) cashier’s checks; (v) third-party checks; (vi) promissory notes; (vii) traveler’s checks; and (viii) money orders; (10) a copy of the compliance program described in 31 CFR 1021.210(b); (11) for card clubs only, records of all currency transactions by customers, including, without limitation, records in the form of currency transaction logs and multiple currency transaction logs, and records of all activity at cages or similar facilities, including cage control logs. Pursuant to 31 CFR 1021.410(c), casinos that input, store, or retain, in whole or in part, for any period of time, any record required to be maintained by by 31 CFR 1010.410 or 31 CFR 1021.410 on computer disk, tape, or other machine-readable media must retain those records in the same format.

The latest form for Additional records to be made and retained by casinos - 31 CFR 1021.410 expires 2028-09-30 and can be found here.

31 CFR 1021.410(a) - Maintain records

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