| (a) The commission may enter into an agreed order with
a respondent to resolve and settle a complaint filed against the respondent,
including an assurance of voluntary compliance, a notice of reporting
error, or an agreed order and resolution.
(b) An assurance of voluntary compliance:
(1) resolves a sworn complaint:
(A) with no determination that a violation within the
jurisdiction of the commission has occurred, if entered into before
a preliminary review hearing is completed; or
(B) with a determination that all violations within
the jurisdiction of the commission, when viewed as a whole in consideration
of any mitigating action taken by the respondent, are technical or
de minimis; and
(2) may include a civil penalty.
(c) A notice of reporting error resolves a complaint
with a determination that all violations within the jurisdiction of
the commission are reporting errors that do not materially defeat
the purpose of disclosure and may include a civil penalty in the form
of an assessment fee.
(d) An agreed order and resolution resolves a sworn
complaint with a determination that one or more violations within
the jurisdiction of the commission occurred and may include a civil
penalty.
|
