Report submission requirement: investigating officers must deliver completed investigation reports, enabling the Board to initiate investor protection action. The Investigating Officer must submit a report to the Board on completion of the investigation after taking into account all relevant facts and ... Summary
Report submission requirement: investigating officers must deliver completed investigation reports, enabling the Board to initiate investor protection action.
The Investigating Officer must submit a report to the Board on completion of the investigation after taking into account all relevant facts and circumstances; on receipt, the Board may initiate regulatory or enforcement action within its powers to protect investors and the securities market.
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