Securities Law

15-601 - Hearings [BCP - Rescinded]

Published Date: 2006-12-14
Effective Date: 2006-12-14
Rescinded Date: 2009-03-06
Document(s):

Concurrently Published:

Table of Contents

INTRODUCTION
PART 1  INTERPRETATION
1.1 Application
1.2 Defined terms

PART 2 HEARINGS
2.1 Procedures
2.2 Parties
2.3 Notices of hearings
2.4 Temporary orders
2.5 Summons of witnesses
2.6 Disclosure
2.7 Evidence
2.8 Facts, law
2.9 Notice of constitutional question
2.10 Joint hearings

PART 3 ENFORCEMENT ORDERS WITHOUT A FULL HEARING
3.1 Power
3.2 Procedure

PART 4 SETTLEMENTS IN ENFORCEMENT MATTERS
4.1 Purpose
4.2 Conditions
4.3 Consent to reciprocal orders
4.4 Form

PART 5 REVIEWS
5.1 Purpose
5.2 Requests for reviews
5.3 Reviews by the Commission
5.4 Stays
5.5 Notices of hearings
5.6  Parties
5.7 Record
5.8 Statements of points
5.9 Form and scope of reviews
5.10 Scope of decisions

PART 6  PRE-HEARING CONFERENCES
6.1 Purpose
6.2 Directions by commissioner
6.3 Outcome

PART 7  GENERAL
7.1 Counsel
7.2 Service
7.3 Consolidation
7.4 Recording evidence
7.5 Public attendance
7.6 Adjournments
7.7. Applications for rulings
7.8 Sending records

PART 8  RULINGS, FINDINGS AND DECISIONS
8.1 Penalties
8.2 Administrative penalty
8.3 Conditions
8.4 Costs
8.5 Interest on financial penalties and costs
8.6 Written reasons
8.7 Decisions
8.8 Timing
8.9 Delivery
8.10 Reviews and appeals of decisions