Potential complaint resolutions…

After completing appropriate proceedings regarding a case alleging a violation of the Act, the Commission can take one of several courses of action:

  1. Dismiss the case if no violation is found.
  2. Issue a Compliance Order
  3. If the Commission finds that the Respondent has violated one or more of the laws under its jurisdiction, the Commission can issue an Order, including a Consent Order, which can include (but is not limited to):
    1. Assessing a civil penalty in a dollar amount not to exceed the maximum authorized per violation (see “Fines and Penalties) times the number of violations found; and
    2. Ordering the Respondent to file or amend any delinquent/deficient document or report required to be filed by law under the jurisdiction of the Commission and on a form or in the manner required by the Commission, within a certain time period with copies to be filed with the Commission; and
    3. Ordering such other actions as necessary to bring about compliance with the law, including prohibiting the actual or threatened commission of any conduct constituting a violation.
  4. Suspend the hearing and report all preliminary findings to any prosecutorial authority for any action deemed appropriate.
  5. Postpone findings and any possible penalty for rescheduling and consideration of the matter at a future meeting, and subject to the taking of any interim action suggested by the Commission as dispositive in lieu of further proceedings.

SEC Rule 189-2-.08 Disposition of Cases

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