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TITLE 7 - BANKING AND SECURITIES
PART 7 - STATE SECURITIES BOARD
CHAPTER 102 - COMPLAINT PROCESS
SUBCHAPTER 102.5.html - null
SECTION/RULE §102.5 - Prioritization of Complaint Investigations
Chapter Review Date 12/01/2023

The following factors will be considered by Agency staff in prioritizing complaints for further investigation:(1) the ongoing nature of the underlying alleged conduct;(2) the amount and degree of financial harm presented by the alleged conduct;(3) extent to which the alleged conduct relates to senior or vulnerable victims;(4) the risk associated with the type of investment product underlying the alleged conduct;(5) the seriousness, nature, circumstances, extent and persistence of the alleged conduct;(6) the history of previous misconduct by the individual or entity alleged to be responsible for the underlying alleged conduct;(7) the availability of Agency resources to pursue investigation of the alleged conduct;(8) the extent another governmental agency or regulatory body is better positioned to investigate the alleged conduct; and(9) such other matters as the facts and circumstances may require.

Source Note: The provisions of this §102.5 adopted to be effective February 27, 2020, 45 TexReg 1218.

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