Texas Administrative Code (Last Updated: March 27,2024) |
TITLE 7. BANKING AND SECURITIES |
PART 7. STATE SECURITIES BOARD |
CHAPTER 102. COMPLAINT PROCESS |
SECTION 102.5. Prioritization of Complaint Investigations
Latest version.
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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