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02.02.06.00.htm 02.02.06.00. Title 02 OFFICE OF THE ATTORNEY GENERAL Subtitle 02 DIVISION OF SECURITIES Chapter 06 Procedures for Administrative Hearings Authority: Corporations and Associations Article, §11-203; Business Regulation Article, §14-106 and 14-206; State Government Article, §10-206; Annotated Code of Maryland
02.02.06.01.htm 02.02.06.01. 01 Scope.. A. This chapter contains procedures for administrative hearings before the Maryland Securities Commissioner which are conducted under the:1) Maryland Securities Act, Corporations and Associations Article, Title 11, Annotated Code of Maryland (the Maryland Securities Act"2) Maryland Business Opportunities Sales Act, Business Regulation Article, Title 14, Subtitle 1, Annotated Code of Maryland (the Business Opportunities Act" or3) Maryland Franchise Reg
02.02.06.02.htm 02.02.06.02. 02 Definitions.. A. In this chapter, the following terms have the meanings indicated.. B. Terms Defined.. 1) "Administrative law judge" means a person authorized to conduct hearings in contested cases under State Government Article, Title 9, Subtitle 16, Annotated Code of Maryland.2) "Commissioner" means the Maryland Securities Commissioner or the designated agent of the Maryland Securities Commissioner.3) "Contested case" has the meaning stated in State Government Article, §10
02.02.06.03.htm 02.02.06.03. 03 Time and Place of Filing.. A. Place of Filing. Papers required or permitted to be filed under this chapter, or any provision of applicable law, shall be filed with the Office of the Attorney General, Division of Securities, 200 St. Paul Place, 20th Floor, Baltimore, MD 21202-2020, or such other places as the Commissioner may designate.B. Date of Filing. A paper is filed when it is received by the Commissioner.. C. Computation of Time. Unless otherwise specifica
02.02.06.04.htm 02.02.06.04. 04 Form of Papers.. A. Caption. A pleading or other paper filed by a party with the Commissioner shall contain a caption that sets forth:1) The name of the first listed respondent;. 2) The file number assigned to the case by the Division; and. 3) A brief descriptive title of the pleading.. B. Signature. A pleading or other paper filed with the Commissioner shall:. 1) Be signed by the party or the party's representative or attorney; and.
02.02.06.05.htm 02.02.06.05. 05 Initiation of Contested Case.. A. Service of Summary Order or Show Cause Order. The Division shall promptly serve a copy of a summary order or a show cause order upon each respondent named in the order. Service may be made by personal service or by registered or certified mail. If appropriate, service may be made upon the Commissioner as the respondent's attorney for service of process in accordance with the Maryland Securities Act, Corporations and Associations Article, §11-8
02.02.06.06.htm 02.02.06.06. 06 Answer.. A. Time for Filing. A respondent shall file with the Commissioner a written answer to a show cause or summary order within 15 days of service of the order and within 7 days of service of any amended order. The parties may agree to extend the time for filing the answer up to 30 days. Any additional extension of time may only be granted by order of the Commissioner.B. Response to Factual Allegations. The answer shall admit or deny each factual allegation in the sh
02.02.06.07.htm 02.02.06.07. 07 Delegation of Hearing Authority.. A. Delegation. The Commissioner may delegate authority to conduct a hearing to the Office of Administrative Hearings or to another person designated in accordance with State Government Article, §10-205(a) Annotated Code of Maryland.B. Scope of Delegation. The Commissioner shall indicate in a written notice of delegation whether the Office of Administrative Hearings or other designated hearing officer is to issue proposed or fina
02.02.06.08.htm 02.02.06.08. 08 Notice of Hearing.. A. Advance Written Notice. If a respondent requests a hearing, or if the Commissioner otherwise determines that a hearing concerning a summary order or a show cause order is appropriate, the Commissioner shall give the parties reasonable advance written notice of the hearing.B. Content of Notice. The notice of the hearing shall include:. 1) The date, time, place, and nature of the hearing;. 2) The legal basis for the hearing;.
02.02.06.09.htm 02.02.06.09. 09 Representation.. A. An individual may appear on the individual's own behalf.. B. A party may be represented by an attorney authorized to practice law in Maryland or, when authorized by law, appear through a representative who is not an attorney. An attorney who is not a member of the Maryland Bar, but is a member in good standing of the Bar of another state, may represent a party if the attorney is specially admitted in accordance with Rule 14 of the Rules Governing Admissi
02.02.06.10.htm 02.02.06.10. 10 Addition, Deletion, and Substitution of Parties.. The Commissioner may, upon motion of a party, order the addition, deletion, or substitution of parties.
02.02.06.11.htm 02.02.06.11. 11 Consolidation of Cases.. If separate proceedings involve a common question of law or fact, the Commissioner may consolidate the proceedings in whole or in part.
02.02.06.12.htm 02.02.06.12. 12 Discovery.. A. Document Requests. A party may serve a written document request on any other party requiring that party to produce, within 15 days, for inspection and copying, any documents or tangible items:1) Relevant to the subject matter of the case; and. 2) Not privileged.. B. Filing and Service. The party making the document request shall:. 1) File the written request with the Commissioner not later than 20 days before the date set for the hearing; and
02.02.06.13.htm 02.02.06.13. 13 Subpoenas.. A. Issuance of Subpoenas. Upon the request of any party, the Commissioner may issue subpoenas requiring the attendance and testimony of witnesses and the production of documents and tangible items in the possession or under the control of the witness.B. Applications for Subpoenas. An application for issuance of a subpoena shall be made in writing to the Commissioner and shall state:1) The name and address of the person to be subpoenaed;. 2) If production of docum
02.02.06.14.htm 02.02.06.14. 14 Prehearing Conferences.. A. Scheduling of Conference. The Commissioner, upon request of a party or when the Commissioner otherwise believes it appropriate, may require the parties to appear at a specified date, time, and place for a prehearing conference before the date set for hearing.B. Agenda. A prehearing conference may be held to address the following matters:. 1) Simplification of issues;. 2) Admissions or stipulations of fact;. 3) Requests for official notice;.
02.02.06.15.htm 02.02.06.15. 15 Failure to Appear.. A. Conduct of Hearing in Party's Absence. If a party, after receiving notice of a prehearing conference or hearing, fails to appear at the conference or hearing, the Commissioner may proceed to hold the conference or hearing in that party's absence.B. Default. The Commissioner may also hold the absent party in default and may issue a proposed or final decision and order against the defaulted party.C. Request for Reconsideration.. 1) A party defaulted as a
02.02.06.16.htm 02.02.06.16. 16 Motions-Generally.. A. Form and Content. Unless otherwise permitted by these regulations or by the Commissioner, motions shall:1) Be made in writing, unless otherwise permitted by the Commissioner during the course of a hearing; and2) State concisely the question to be determined and be accompanied by any necessary supporting documentation.B. Filing and Service. A party shall file a motion not later than 15 days before the date of the hearing and shall serve a co
02.02.06.17.htm 02.02.06.17. 17 Motions for Summary Decision.. A. Time for Filing. A party may move at any time for summary decision as to any substantive issue in the case.B. Standard. The Commissioner may issue a summary decision if the Commissioner finds that there is no genuine issue as to any material fact, and that the moving party is entitled to prevail as a matter of law.
02.02.06.18.htm 02.02.06.18. 18 Conduct of Hearings.. A. Presiding Officer. The Commissioner shall preside at all hearings unless the Commissioner has delegated authority to conduct a hearing to the Office of Administrative Hearings or other hearing officer designated in accordance with State Government Article, §10-205(a) Annotated Code of Maryland.B. Order of Proceedings.. 1) The Commissioner shall call the hearing to order.. 2) The Commissioner shall explain briefly the purpose and nature of the hearing..
02.02.06.19.htm 02.02.06.19. 19 Submission of Case on Documentary Record.. The Commissioner may elect not to hold a hearing if all parties agree to submit the case on the documentary record and waive their right to appear.
02.02.06.20.htm 02.02.06.20. 20 Evidence.. A. Standards of Admissibility. Evidence shall be admitted in accordance with State Government Article, §10-213, Annotated Code of Maryland.B. Relevance. The Commissioner may admit evidence that reasonable and prudent individuals commonly accept in the conduct of their affairs, and give probative effect to that evidence.C. Exclusion of Evidence. The Commissioner may exclude evidence that is incompetent, irrelevant, immaterial, or unduly repetitious.
02.02.06.21.htm 02.02.06.21. 21 Examination of Witnesses.. A. Oath. Witnesses shall testify under oath or affirmation.. B. Rules of Evidence. A party may conduct direct examination or cross-examination without strict adherence to formal rules of evidence in order to obtain a full and fair disclosure of facts relevant to matters in issue.C. Hostile Witnesses. If the Commissioner determines that a witness is hostile or unresponsive, the Commissioner may authorize the party calling the witness to proceed as if t
02.02.06.22.htm 02.02.06.22. 22 Sequestration of Witnesses.. A. Request for Sequestration. Upon request by any party, the Commissioner may exclude witnesses other than parties from the hearing room when those witnesses are not testifying.B. Representative of Party. A party that is not a natural person may designate an individual as its representative to remain in the hearing room, even though the individual may also be a witness.C. Experts. An expert witness who is to render an opinion based upon the te
02.02.06.23.htm 02.02.06.23. 23 Ex Parte Communications.. A. General Prohibition. Except as provided in §B of this regulation, while a contested case is pending, the Commissioner may not communicate ex parte regarding the merits of any issue in the case with:1) A respondent;. 2) A representative or attorney for a respondent;. 3) Division staff or counsel involved in the investigation or presentation of the case; or. 4) An administrative law judge or other hearing officer who presided at an
02.02.06.24.htm 02.02.06.24. 24 Proposed Decisions and Final Decisions.. A. Cases Heard by the Commissioner. The Commissioner shall prepare written findings of fact and conclusions of law, and shall promptly issue a final decision after the conclusion of any hearing held before the Commissioner. The final decision shall include rulings on any proposed findings of fact and conclusions of law submitted by the parties.B. Cases Heard by an Administrative Law Judge.. 1) When the Commissioner
02.02.06.25.htm 02.02.06.25. 25 Record of Proceedings.. A. Recording of Oral Proceedings. The Division shall cause all oral proceedings, including testimony, to be recorded by a stenographer or by tape recorder or other device. The recording of the proceedings, which need not be transcribed, shall be maintained in the custody of the Division. In the event of an appeal from a decision of the Commissioner, the appellant shall pay the cost of transcription of the record. Other verbatim reports or recordi
02.02.06.26.htm 02.02.06.26. 26 Stay of Enforcement.. A. Motion for Stay. After the Commissioner has issued a final decision that results in the entry of a final order against a party, the party may move for a stay of the Commissioner's order if the party has filed an appeal of the final decision.B. Form of Motion. A request for a stay shall be in writing and shall include a copy of the order for appeal filed in the circuit court.C. Criteria for Stay. The Commissioner may grant a stay of a final order fo
02.02.06.27.htm 02.02.06.27. 27 Disposition by Agreement.. At any time after initiation of a contested case, with the approval of the Commissioner, the parties may resolve a contested case without a final decision by stipulation, settlement, or consent order.
02.02.06.9999.htm 02.02.06.9999. Administrative History Effective date: May 23, 1994 (21:10 Md. R. 840). Regulation .01B amended effective June 15, 1998 (25:12 Md. R. 944). Regulation .02B amended effective June 15, 1998 (25:12 Md. R. 944). Regulation .03D adopted effective June 15, 1998 (25:12 Md. R. 944). Regulation .04A amended effective June 15, 1998 (25:12 Md. R. 944). Regulation .06A amended and D adopted effective June 15, 1998 (25:12 Md. R. 944).
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