18 NCAC 06C .0101. LETTER OF INQUIRY

(a)  The Division may issue a Letter of Inquiry to anyone engaging in activities which may subject them to the jurisdiction of the Administrator.  The purpose of a Letter of Inquiry is to obtain information or documents necessary to the understanding of matters under investigation.

(b)  Anyone who is subject to the jurisdiction of the Administrator and who receives a Letter of Inquiry shall respond to the Letter of Inquiry in writing with:

(1)           such information as is within his or her personal knowledge; 

(2)           recorded information in any form, including business records, under the recipient's control; and

(3)           the identity of any other person whom the recipient believes has information relevant to the subject of a Letter of Inquiry who is subject to the jurisdiction of the Administrator.

 

History Note:        Authority G.S. 78A-18; 78A-29; 78A-30; 78A-39; 78A-46; 78A-47; 78A-49; 78C-19; 78C-27; 78C-28; 78C-30; 78C-90; 78C-91; 78D-4; 78D-21; 78D-22; 78D-25; 78D-26; 78D-27; 78D-30; 105-163.013; 150B-38(h); 150B-40;

Eff. April 1, 2009.