| (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.
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