31.04.20.07

.07 Market Conduct Examination Report.

A. Whenever a market conduct examination is conducted pursuant to Regulation .06 of this chapter, the Commissioner shall:

(1) Provide the person with a copy of the draft proposed market conduct examination report;

(2) Allow the person to submit written comments on the draft proposed market conduct examination report within 30 days after the receipt of the draft proposed market conduct examination report, or the period specified by the Commissioner, whichever is longer;

(3) Consider the written comments submitted by the person in finalizing the draft proposed market conduct examination report; and

(4) Include the written comments submitted by the person to the draft proposed market conduct examination report as an attachment to the proposed market conduct examination report.

B. After receipt of the draft proposed market conduct examination report, a person may submit a written request, stating the reason for the request, to the Commissioner to extend the time for the submission of written comments.

C. If the Commissioner receives a request pursuant to §B of this regulation, the Commissioner shall:

(1) Grant an extension; or

(2) Notify the person that the request to extend the time is denied.

D. The Commissioner shall provide the person with a copy of the proposed market conduct examination report.