(a)Not later than the 7th day after receipt of a signed,
written complaint, Commission staff shall:
(1)assign the complaint a case number in the complaint
tracking system; and
(2)send written acknowledgement of receipt to the
(b)Once a signed, written complaint has been filed
with the Commission, the Commission has jurisdiction to consider,
investigate, and take action based on the complaint. Complaints may
be withdrawn only with the consent of the Commission.
(c)Not later than the 30th day after receiving a complaint,
Commission staff will send written notice to the complainant of Commission
staff's evaluation regarding the complaint. This evaluation may be
that the case will be investigated or that the Commission lacks jurisdiction
over the complaint.
(d)Dismissal of Complaints.
(1)Commission staff will dismiss a complaint with
no further processing if staff determines at any time that:
(A)the complaint is:
(i)not within the Commission's jurisdiction; or
(ii)inappropriate or without merit;
(B)no violation exists; or
(C)there is insufficient evidence to prove a case
at a hearing.
(2)Commission staff will send written notice to the
complainant and each respondent who has been notified of the complaint
within 14 days after a complaint is dismissed under this subsection.
(e)Commission staff may request additional information
from any person, if necessary, to determine how to proceed with the
(1)When information is requested from a complainant,
the complainant must respond within a reasonable time, or the complaint
may be closed and no further action will be taken. If the complaint
is closed under this subsection, Commission staff will send written
notice to the complainant and to the respondent, if the respondent
has been notified of the complaint.
(2)When information, documents, books, or records
are requested from a respondent, the respondent must respond within
a reasonable time, or the failure to respond may violate §1101.652(a)
or (a-1) of the Act.
(3)For purposes of this section and §1101.652(a)
and (a-1) of the Act, "a reasonable time" means 14 days from receipt
of a request made by Commission staff.
(4)Commission staff may agree to extend the time to
respond for good cause upon receipt of a written request for more
time from a complainant or respondent.
(f)If Commission staff determines that a complaint
is within the Commission's jurisdiction, a copy of the complaint,
including attachments, will be sent to the respondent.
(g)The Commission will protect the identity of a complainant
to the extent possible by excluding the complainant's identifying
information from a complaint notice sent to a respondent.
(h)Commission staff may assign a complaint to an investigator
to conduct a field investigation or conduct an investigation by requesting
a written response and documents. Absent good cause, a field investigation
must be completed within six months after a complaint is opened.
(i)Commission staff will periodically send written
notice to the complainant and each respondent of the status of the
complaint until final disposition. For purposes of this subsection,
"periodically" means at least once every 120 days.
(j)Commission staff may issue an advisory letter to
a respondent when it determines that a warning is sufficient to deter
certain conduct or when it seeks to educate a respondent about proper
conduct to avoid a future violation.
(k)When Commission staff determines a violation exists,
Commission staff may seek to resolve the case through an agreed order
with the respondent.
(l)Absent good cause, a case that is not dismissed
or resolved by an advisory letter or agreed order must be set for
a hearing at the State Office of Administrative Hearings not later
than one year after the complaint is filed with the Commission.
The agency certifies that legal counsel has reviewed
the adoption and found it to be a valid exercise of the agency's legal
Filed with the Office
of the Secretary of State on November 21, 2019
Deputy General Counsel
Texas Real Estate Commission
Effective date: December 11, 2019
publication date: August 30, 2019
For further information, please call: (512) 936-3093