§ 63.3. Commission proceedings regarding late or deficient filings.
(a) Commission proceedings under sections 13A04 or 13A05 of the act (relating to registration; and reporting) may be initiated based upon one or more of the following:
(1) Receipt of a complaint.
(2) Information submitted by the Department, at its discretion, including, but not limited to, referrals or other information pertaining to late or incomplete filings, the failure to file required registration statements and the failure to file quarterly expense reports.
(3) A referral by the Department of any information arising from an audit, which, in the view of the Department, is appropriate for the Commission to consider.
(4) Reviews of filings conducted by Commission staff.
(5) On the motion of the Commission’s Executive Director, which is based upon a reasonable belief that a violation of section 13A04 or 13A05 of the act may have occurred.
(b) The Commission, through its Executive Director, will initiate proceedings involving sections 13A04 or 13A05 of the act under either the noninvestigative procedures in § 63.4 (relating to noninvestigative process for late or deficient filings) or under the investigative procedures in § 63.5 (relating to investigative process for late or deficient filings).
(1) In each case, the Executive Director of the Commission will elect the process to be followed based upon factors which include, but are not limited to:
(i) The complexity of the matter.
(ii) Whether an investigation is needed to fully review the matter.
(iii) Whether the filer has had prior notice of the requirements of the act.
(iv) Whether the filer has in the past complied with the act.
(2) The election of the process to be followed will not be controlled by the manner in which the alleged negligent violation or noncompliance comes to the attention of the Commission.
(3) If a formal complaint is received alleging a failure to register or report as required by the act, or the filing of a registration or report containing a false statement, the Commission through its Executive Director may elect to proceed in the matter under the noninvestigative procedures of § 63.4 rather than through the investigative procedures of § 63.5.
(4) A complainant will be notified of the Executive Director’s election of the process to be followed.
(5) Information received under subsection (a) may form the basis for proceedings under either the noninvestigative procedures of § 63.4, or, on the motion of the Commission’s Executive Director, the investigative procedures of § 63.5.
(c) If the Department makes a referral to the Commission based on an audit, the Commission will handle the referral through the investigative process.
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