Section 102.3 - Filing Complaints(a) A complaint against an individual or entity subject to the Agency's jurisdictional authority may be filed by a member of the public or by an individual or entity regulated by the Agency.(b) A complaint form promulgated by the Agency is available on the Agency website (www.ssb.texas.gov). An electronic or print version of the complaint form may also be obtained by contacting any office of the Agency and requesting one.(c) A complaint must be made in writing to the Securities Commissioner. (1) A complaint using the Agency's complaint form must be submitted in person, by mail or facsimile to an Agency office, or electronically to the email address for complaints identified on the Agency's website (www.ssb.texas.gov).(2) A complaint made by letter or other written format must be submitted electronically through the email address for complaints identified on the Agency's website (www.ssb.texas.gov).(d) The complaint shall include the following information: (1) the name and contact information of the complainant, unless the complainant wishes to remain anonymous;(2) identifies the individual or entity against whom the complaint is filed; and(3) sufficient facts to enable the Agency to determine the nature of the complaint and the specific facts and circumstances giving rise to the filing of the complaint.7 Tex. Admin. Code § 102.3
Adopted by Texas Register, Volume 45, Number 08, February 21, 2020, TexReg 1218, eff. 2/27/2020