S.D. Admin. R. 20:75:07:12

Current through Register Vol. 50, page 159, June 17, 2024

Section 20:75:07:12 - Response to findings for further consideration

The firm under review shall issue a response to findings for further consideration. The response shall contain the following:

(1) A statement addressing each finding in the reviewer's findings for further consideration;

(2) A statement of agreement or disagreement with the findings of the reviewer. The firm must provide reasons if it disagrees with the findings;

(3) A statement of agreement or disagreement with the corrective action recommended by the reviewer; and

(4) A schedule for correcting the findings.

S.D. Admin. R. 20:75:07:12

29 SDR 16, effective 8/14/2002; 35 SDR 165, effective 12/22/2008; 36 SDR 216, effective 7/6/2010; 39 SDR 33, effective 9/5/2012.

General Authority: SDCL 36-20B-12(9).

Law Implemented: SDCL 36-20B-36.