| (C) Based upon the information provided pursuant to subsections
(e), (f), and (g) of this section, the commission shall determine whether
a registering party is capable of fulfilling customer protection provisions,
disclosure requirements, and marketing guidelines of PURA.
(D) The commission shall determine whether to accept or reject
the registration request within 60 days of the receipt of a complete application.
Unacceptable registrations will be rejected without prejudice to refiling.
(i) Post-registration requirements.
(1) An aggregator may not refuse to provide aggregation services
or otherwise discriminate in the provision of aggregation services to any
customer because of race, creed, color, national origin, ancestry, sex, marital
status, source or level of income, disability, or familial status; or refuse
to provide aggregation services to a customer because the customer is located
in an economically distressed geographic area or qualifies for low-income
affordability or energy efficiency services; or otherwise unreasonably discriminate
on the basis of the geographic location of a customer.
(2) An aggregator shall comply with the commission's education,
disclosure, and marketing guidelines and rules, including those pertaining
to customer protection and the filing of regular reports on customer complaints.
An aggregator may not release proprietary customer information to any person
unless the customer authorizes the release in a manner approved by the commission.
An aggregator shall disclose to customers, when a customer requests aggregation
services, all of its trade or commercial names, any agency relationships with
REPs, and its sources of compensation for the provision of aggregation services.
(3) An aggregator shall update any changes to business name,
address, or phone number within ten business days from the date of the change.
(4) An aggregator shall notify the commission within 30 days
of any material change to its registration request, or if the registrant ceases
to meet any commission requirements.
(5) An aggregator may amend its registration by providing only
the information relevant to the amendment on the registration form. The amendment
shall be submitted pursuant to subsection (h)(1) of this section.
(6) An aggregator shall file an annual report with the commission
on September 1 of each year on a form approved by the commission.
(7) An aggregator that is required to demonstrate financial
qualifications specified in subsection (g)(1) of this section are subject
to the following ongoing conditions:
(A) The aggregator shall maintain records on an on-going basis
for any advance payments received from customers. Financial resources required
under subsection (g)(1)(A)-(C) of this section, shall be maintained at levels
sufficient to demonstrate that the registrant can cover all advanced payments
that are outstanding at any given time.
(B) The aggregator shall file a sworn affidavit demonstrating
compliance with subsection (g)(1)(A)-(D) of this section within 90 days of
receiving the first payment for aggregation services before those services
are rendered.
(C) Financial obligations to customers shall be payable to
them within 30 business days from the date the aggregator notifies the commission
that it intends to withdraw its registration or is deemed by the commission
not able to meet its current customer obligations. Customer payment obligations
shall be settled before registration is withdrawn.
(D) Financial resources required pursuant to subsection (g)(1)
of this section shall not be reduced by the aggregator without the advance
approval of the commission.
(E) The annual update required by paragraph (6) of this subsection
shall include a sworn affidavit attesting to compliance with subsection (g)(1)
of this section, and an explanation of the methodology for that compliance.
(F) The aggregator shall maintain records on an ongoing basis
of authorizations from the public entities that have authorized it to provide
aggregation services.
(8) A person that initially received its registration on the
basis of not accepting payments for aggregation services, and was therefore
not subject to subsection (g) of this section, shall amend its registration
with a showing to the commission that it is able to comply with the requirements
of subsection (g) of this section in advance of accepting payments.
(9) Persons registered pursuant to the alternative requirements
for limited registration specified in subsections (f)(2) and (g)(2) of this
section shall make available to the commission the written consent of individual
customers, if requested.
(10) A registered aggregator that ceases to provide aggregation
services may withdraw its registration by notifying the commission 30 days
prior to ceasing operations and providing proof of refund of any monies owed
to customers. An aggregator that withdraws its registration is not required
to comply with paragraphs (1)-(9) of this subsection, following
such a withdrawal.
(11) A registration shall not be transferred without prior
commission approval. The transferee shall submit an application for registration
in accordance with this section. The commission shall determine whether to
approve the transfer within 60 days of the receipt of a complete application
submitted in accordance with subsection (h) of this section.
(j) Suspension and revocation of registration and administrative
penalty. Pursuant to PURA §39.356, registrations granted pursuant to
this section are subject to suspension and revocation for significant violations
of PURA or other rules adopted by the commission. At its discretion, the commission
may also impose an administrative penalty for a significant violation. Significant
violations include, but are not limited to, the following:
(1) providing false or misleading information to the commission;
(2) engaging in fraudulent, unfair, misleading, deceptive or
anti-competitive practices;
(3) failing to maintain the minimum level of financial resources
required under subsection (g)(1) of this section, if applicable;
(4) a pattern of failure to meet the conditions of this section,
other commission rules, or orders;
(5) bankruptcy, insolvency, or failure to meet its financial
obligations on a timely basis;
(6) suspension or revocation of a registration, certification,
or license by any state or federal authority;
(7) conviction of a felony by the registrant or a principal
or officer employed by the registrant, of any crime involving fraud, theft
or deceit related to the registrant's aggregation service;
(8) failure to operate within the applicable legal parameters
established by PURA §§39.353, 39.354, 39.3545, and Local Government
Code Chapter 303;
(9) failure to respond to commission inquiries or customer
complaints in a timely fashion;
(10) switching or causing to be switched the REP of a customer
without first obtaining the customer's authorization; or
(11) billing an unauthorized charge, or causing an unauthorized
charge to be billed to a customer's retail electric service bill.
(k) Sunset of affiliate limitation. The provisions of this
section that speak to a prohibition on aggregators from affiliating with REPs
cease to be effective July 1, 2003. When this occurs, the agency disclosures
required in subsections (f)(1)(K) and (i)(2) of this section shall also include
a requirement to disclose any affiliate relationships between the aggregator
and REPs.
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