| (a) Agency staff shall promptly review complaints to
determine if the Agency has jurisdictional authority to investigate
the complaint. Agency staff may contact the complainant or other persons
for additional information.
(b) When the complaint relates to an individual or
entity registered with the Securities Commissioner, the Inspections
and Compliance Division, with assistance from the Enforcement Division
as appropriate, will review the allegations in the complaint.
(c) When the complaint relates to an individual or
entity that is not registered with the Securities Commissioner, the
Enforcement Division, with assistance from the Inspections and Compliance
Division as appropriate, will review the allegations in the complaint.
(d) Upon determination that the complaint contains
the information required by §102.3(d) of this chapter (relating
to Filing Complaints), the complaint will be entered in the complaint
tracking system of the Agency division leading the review and investigation.
(e) The complainant will be notified of the Agency's
receipt of the complaint and be given the name and contact information
for an Agency staff member assigned the complaint.
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