“EXPLANATION OF A BROKER” The Commission has received several inquiries about its policies and procedures concerning the relationship between out-of-state distillers, manufacturers, wineries, growers and other vendors (“suppliers”) who sell or wish to sell alcoholic beverages in Massachusetts and in-state individuals or corporations the ABCC licenses as agents, solicitors or brokers (“brokers”). The law governing sale and distribution of alcoholic beverages is Chapter 138 of the Massachusetts General Laws (“M.G.L.”). Under Section 18B an out-of-state supplier who wants to ship into the Commonwealth must obtain a Certificate of Compliance from the Commission. The supplier must be licensed by the state or country from which the alcoholic beverages are to be shipped into Massachusetts. The annual fee for the Certificate is $200.00 or $500.00 depending on volume shipped. The Certificate grants the supplier the right to ship alcoholic beverages to a licensed Massachusetts Wholesaler or Wholesalers of its choice. It DOES NOT authorize the supplier or its own representatives, agents, employees the right to solicit, broker, promote or otherwise deal with wholesalers or retailers here in Massachusetts. If a supplier wishes to be represented by someone other than its wholesaler’s employees, it may do so in two ways. First, it may ask the Commission to approve a Section 18A broker’s license for a person who is both a citizen and resident of Massachusetts, or a partnership composed solely of such individuals or a Massachusetts corporation or out-of-state foreign corporation admitted to do business in Massachusetts. The second choice is for the supplier to request its own broker’s license for an employee, agent or representative or for itself if it’s a foreign corporation admitted to do business here in Massachusetts. A licensed broker is allowed to contact and solicit orders from wholesalers on behalf of the supplier he or she represents. A broker’s license costs $5,000.00 annually. On Section 18A the terms “Agent”, “Broker” and “Solicitor” are used interchangeably. In this letter, Section 18A licensees are referred to as “Brokers”. Finally, any broker may hire salespersons to promote products and solicit orders if the Commission approves a permit for that person under the provisions of Section 19A, and is a Massachusetts resident. The cost of that permit is $200.00 annually. American LegalNet, Inc. www.FormsWorkFlow.com AGENT, BROKER OR SOLICITOR APPLICANTS (M.G.L. CH. 138, s 18A) LICENSING PROCEDURES PAYMENT AND MAILING PROCEDURES - ALL APPLICANTS MUST COMPLETE THE ENCLOSED MONETARY TRANSMITTAL FORM, ATTACH YOUR PAYMENT AND APPLICATION TO THE TRANSMITTAL FORM AND MAIL TO: BANK OF AMERICA - ALCOHOLIC BEVERAGES CONTROL COMMISSION POST OFFICE BOX 3396 BOSTON, MA 02241-3396 LICENSE FEE: $5,000.00 - $500.00 for each additional principal, not to exceed $6,500.00 (see form attached on schedule of fees) PERMIT FEES: SALESMAN PERMIT $200.00 TRANSPORTATION PERMIT - $150.00 SALESMAN: Proof of Massachusetts residency is required of all new salesmen. TRANSPORTATION APPLICATIONS: If a vehicle is leased or rented, a copy of the leasing/rental agreement must accompany the application. Vehicles must be registered in Massachusetts. All applications must be signed by an OFFICER of the Corporation. IF APPLICANT IS: A. CORPORATION/FOREIGN CORPORATION: Submit a copy of the Articles of Organization, or foreign corporation Certificate issued by the Secretary of State of Massachusetts. B. INDIVIDUAL - must be a Massachusetts resident, complete and sign attached FORM A. WEBSITE ADDRESS: www.mass.gov/abcc American LegalNet, Inc. www.FormsWorkFlow.com Application for a License to act as Agent, Broker or Solicitor under provisions of Section 18A, of Chapter 138 of the General Laws, as amended. Dated at ………………………………. 2010 The undersigned hereby applies for a license to act as Agent, Broker or Solicitor for ……………………………………………………………………………………………… (Name of principal for whom applicant is to act) ……………………………………………………………………………………………… (Address of principal’s place of business) ……………………………………………………………………………………………… (Type of license held by principal. State full and correct name of licensing authority.) It is understood by the applicant that the license being applied for authorizes the solicitation of orders for alcoholic beverages from holders of Wholesalers' and Importers' licenses only for such alcoholic beverages as such holders under their respective licenses are authorized to sell. THE ABOVE STATEMENTS ARE MADE UNDER THE PENALTIES OF PERJURY ………………………………………………………… (Print name of applicant) ………………………………………………………….. (Signature of applicant or authorized agent) ………………………………………………………….. (Address) ………………………………………………………… (Telephone Number) If the application is made by an individual or a partnership, satisfactory proof of citizenship and of residence in this Commonwealth shall be furnished for each individual. If the application is made on behalf of a corporation, satisfactory evidence that a citizen of the United States with full power and authority over all business relative to alcoholic beverages has been appointed to act as manager or principal representative for this purpose shall be furnished. If the application is made on behalf of a foreign corporation, satisfactory evidence that it has been admitted to do business in Massachusetts shall also be furnished. License Fee $5,000.00 Enclosed Money Order Check American LegalNet, Inc. www.FormsWorkFlow.com CERTIFICATE OF APPOINTMENT TO ACT AS AGENT, BROKER OR SOLICITOR (Not to be filled out if the application on the reverse side is made on behalf of a foreign corporation to act as Agent, Broker or Solicitor on its own account.) The undersigned, being the holder of ……………………………………………………………………………………………… (State type of license held) License No. ………………………… issued by …………………………………………………………………………………….. (State full and correct title of licensing authority) for the sale of ……………………………………………………………………………………………. (State kind of alcoholic beverages) hereby certifies that ……………………………………………………………………………………………... (Name of individual, individuals or corporation appointed) has been appointed to act as Agent. Broker or Solicitor for the purpose of soliciting orders for alcoholic beverages from the holders of Wholesalers' and Importers' licenses in the Commonwealth of Massachusetts for our account. THE ABOVE STATEMENTS ARE MADE UNDER THE PENALTIES OF PERJURY ……………………………………………………………………………………… (Typewrite or print – Do not write – full and correct name) ……………………………………………………………………………………… (Signature) ……………………………………………………………………………………… (Mail Address) ……………………………………………………………………………………… Pursuant to M.G.L. Ch. 62C, Sec. 49A, I certify under the penalties of perjury that I, to my best knowledge and belief, have filed all state tax returns and paid all state taxes required under law. ______________________________ Social Security Number Or Corporate Name ___________________________________ Signature of Individual Date _____________________________ Federal Identification Number (if applicable) by:________________________________ Corporate Officer Date American LegalNet, Inc. www.FormsWorkFlow.com AGENT, BROKER OR SOLICITOR I hereby advise that (Print or type name of Principal, (Certificate of Compliance Holder) whom I represent in Massachusetts under an Agent, Broker or Solicitor’s License, No.______ is offering for sale in Massachusetts the following brands and kinds of alcoholic beverages, and the name of the Massachusetts Wholesaler/Importer distributing each item. (Please inform the Commission immediately of any additions.) BRANDS/KINDS WHOLESALER/IMPORTER ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ List all Principals (Certificate of Compliance Holders) you presently represent in Massachusetts. ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ THE ABOVE STATEMENTS ARE MADE UNDER PENALTY OF PERJURY. SIGNATURE AND TITLE DATE American LegalNet, Inc. www.FormsWorkFlow.com Form A Licensee Personal Information Sheet THIS FORM MUST BE COMPLETED FOR EACH: _____ A. NEW LICENSE APPLICANT _____ B. APPOINTMENT OR CHANGE OF MANAGER IN A CORPORATION _____ C. TRANSFER OF LICENSE (RETAIL ONLY-SEC. 12 & SEC. 15) (Please check which transaction is the subject of an application accompanying this Form A). PLEASE TYPE OR PRINT ALL INFORMATION ALL QUESTIONS MUST BE ANSWERED AND TELEPHONE NUMBERS PROVIDED OR APPLICATION WILL NOT BE ACCEPTED. 1. LICENSEE NAME__________________________________________________ (NAME AS IT WILL APPEAR ON THE LICENSE) 2. NAME OF (PROPOSED) MANAGER _________________________________ 3. SOCIAL SECURITY NUMBER ______________________________________ 4. HOME (STREET) ADDRESS ________________________________________ 5. AREA CODE AND TELEPHONE NUMBER (S): (Give both, your home telephone and a number at which you can be reached during the day). DAY TIME # ___________________________HOME #_________________ 6. PLACE OF BIRTH: ___________________7. DATE OF BIRTH: ____________ 8. REGISTERED VOTER: _____ YES_______ NO 8A. WHERE ?: ___________ 9. ARE YOU A U. S. CITIZEN: 10. COURT AND DATE OF NATURALIZATION (IF APPLICABLE): __________________________________________________________________ (Submit proof of citizenship and/or naturalization such as Voter’s Certificate, Birth Certificate or Naturalization Papers) FATHER’S NAME: ___________12. MOTHER’S MAIDEN NAME:_________ 11. _______ YES _______ NO American LegalNet, Inc. www.FormsWorkFlow.com 13. IDENTIFY YOUR CRIMINAL RECORD, (Massachusetts, Military, any other State or Federal): ANY OTHER ARREST OR APPEARANCE IN CRIMINAL COURT CHARGED WITH A CRIMINAL OFFENSE REGARDLESS OF FINAL DISPOSITION: __________ YES ________ NO (MUST CHECK EITHER YES OR NO) IF YES, PLEASE DESCRIBE OFFENSE (S) SPECIFIC CHARGE AND DISPOSITION (FINE, PENALTY, ETC.) __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 14. PRIOR EXPERIENCE IN THE LIQUOR INDUSTRY: IF YES, PLEASE DESCRIBE: ____ YES____ NO __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ 15. FINANCIAL INTEREST, DIRECT OR INDIRECT, IN THIS OR ANY OTHER LIQUOR LICENSE, PERMIT OR CERTIFICATE: _______YES _____NO IF YES, PLEASE DESCRIBE:_______________________________________________________ 16. _________________________________________________________________ EMPLOYMENT FOR THE LAST TEN YEARS (Dates, Position, Employer, Address and if known, Telephone Numbers): __________________________________________________________________ __________________________________________________________________ 17. HOURS PER WEEK TO BE SPENT ON THE LICENSED PREMISES: _________ 18. I HEREBY SWEAR THAT UNDER THE PAINS AND PENALTIES OF PERJURY THAT THE INFORMATION I HAVE GIVEN IN THIS APPLICATION IS TRUE TO THE BEST OF MY KNOWLEDGE AND BELIEF. BY:__________________________________________________ ______________________________________________________ PROPOSED MANAGER SIGNATURE DATE American LegalNet, Inc. www.FormsWorkFlow.com MONETARY TRANSMITTAL FORM 1 THIS TRANSMITTAL MUST ACCOMPANY YOUR APPLICATION IN ORDER TO ASSURE PROPER CREDIT. PLEASE DO NOT SEND CASH. PLEASE MAKE YOUR CHECKS PAYABLE TO COMMONWEALTH OF MASSACHUSETTS, ABCC. MAIL THIS TRANSMITTAL ALONG WITH YOUR CHECK AND COMPLETED APPLICATION TO: BANK OF AMERICA - ALCOHOLIC BEVERAGES CONTROL COMMISSION POST OFFICE BOX 3396 BOSTON, MA 02241-3396 APPLICANT MUST COMPLETE THE FOLLOWING: NAME: ADDRESS: CITY/TOWN: STATE: ZIP CODE: DATE: LICENSE NAME AIRLINE MASTER FOR SALE TO PASSENGERS AIRLINE (EACH FLIGHT) BROKERS BROKERS ADDITIONAL BONDED WAREHOUSE SALESMAN TRANSP. FOR SALESMAN RAILROAD MASTER FOR SALE TO PASSENGERS RAILROAD (EACH RR CAR) 3009 STEAMSHIP SHIP CHANDLER TRANSPORTATION & DELIVERY WAREHOUSEMAN PERMIT TO TRANSPORT NOT FOR CONSUMPTION RR, SHIP, OR AIRLINE 3/2/04 REV REV. CODE # OF FEE PERMITS AMOUNT REQUESTED TOTAL (COL.3 X COL.4) 3094 3094 3007 3007 3095 3011 3097 ________ ________ ________ _________ ________ ________ ________ $ 500.00 $ 50.00 $ 5000.00 500.00 $ 1000.00 $ 200.00 $ 150.00 $ ________ $ ________ $ ________ $ ________ $ ________ $ ________ $ ________ 3009 3010 3099 3097 3095 ________ ________ ________ ________ ________ ________ $ 500.00 $ 50.00 $ 500.00 $ 1000.00 $ 150.00 $ 500.00 $ ________ $ ________ $ ________ $ ________ $ ________ $ ________ 3097 ________ $ 1500.00 $ ________ CHECK TOTAL $_________ American LegalNet, Inc. www.FormsWorkFlow.com