(a) Fingerprint Requirements and Procedure.
  (1) Except as otherwise provided by this section, an applicant for a license must submit with the application documents a set of the applicant's fingerprints on a form prescribed by the Department of Public Safety for classification by the Federal Bureau of Investigation and the Department of Public Safety. If the applicant is not an individual, the applicant must submit a set of fingerprints on the above-referenced form for each individual who:
    (A) serves as a director, officer, or partner of the applicant;
    (B) holds a beneficial ownership interest in the applicant of 5.0% or more; or
    (C) owns any interest in the applicant, if requested by the Department of Public Safety.
  (2) If the applicant is a political subdivision, each individual who is a member of the governing body of the political subdivision must submit a set of fingerprints as required by this section.
  (3) The fingerprints must be taken by a peace officer or a person authorized by the Commission.
  (4) Not later than 10 days after the day the Commission receives the fingerprints under this section, the Commission shall forward the fingerprints to the Department of Public Safety.
  (5) If an exempt institutional investor acquires an interest of 5.0% or more in an association, the investor is not required to submit any fingerprints unless specifically requested by the Commission or the Department of Public Safety. Not later than 10 days after the acquisition, the investor shall submit its most recent annual report or, if the annual report is not available, its most recent audited financial statements.
(b) Criminal History Record.
  (1) For each individual who submits fingerprints under subsection (a) of this section, the Commission shall obtain a criminal history record maintained by the Texas Department of Public Safety and the Federal Bureau of Investigation.
  (2) The Commission may obtain criminal history record information from any law enforcement agency.
  (3) Except as otherwise provided by this subsection, the criminal history record information received under this section from any law enforcement agency that requires the information to be kept confidential as a condition of release of the information is for the exclusive use of the Commission and its agents and is privileged and confidential. The information may not be released or otherwise disclosed to any person or agency except in a criminal proceeding, in a hearing conducted by the Commission, on court order, or with the consent of the applicant. Information that is in a form available to the public is not privileged or confidential under this subsection and is subject to public disclosure.
(c) Information for Department of Public Safety Background Investigation.
  (1) For each individual required to provide fingerprints under subsection (a) of this section, the application documents must include a completed form prescribed by the Department of Public Safety, which includes a statement disclosing whether the individual has ever been:
    (A) arrested; or
    (B) convicted of a felony or misdemeanor, other than a misdemeanor traffic offense.
  (2) All forms submitted under this section must be submitted under separate cover labeled "Department of Public Safety Disclosure Forms - Confidential" and include the fingerprint cards for the individuals submitting disclosure forms.

Source Note: The provisions of this §309.4 adopted to be effective October 21, 1999, 24 TexReg 8964; amended to be effective January 8, 2004, 29 TexReg 365