N.Y. Comp. Codes R. & Regs. tit. 9 § 5113.3

Current through Register Vol. 46, No. 45, November 2, 2024

Section 5113.3 - Initiation of disciplinary proceedings

(a) Except as otherwise provided by the act or these regulations, at any time during the review and investigation of a complaint or alleged violation of the act or these regulations, the commission may initiate disciplinary proceedings:

(1) to suspend or revoke any license or certificate issued pursuant to the act; or

(2) to otherwise sanction the agent or licensee for violations of the act or these regulations.

(b) Disciplinary proceedings commenced by the commission shall be initiated by sending a notice by first class mail to the last known mailing address of the licensee. Such notice, without limitation, shall set forth a list of the grounds for the proposed disciplinary action; the time and place for a hearing before the commission concerning the proposed disciplinary action; and a statement of the disciplinary action sought to be imposed against such licensee. Such notice shall be mailed to the licensee not less than 30 days prior to the scheduled hearing date.

N.Y. Comp. Codes R. & Regs. Tit. 9 § 5113.3