---
kind: "section"
citation: "11 C.F.R. § 111.3"
title: "11"
number: "111.3"
heading: "Initiation of compliance matters (52 U.S.C. 30109(a)(1), (2))."
url: "https://uscodex.org/cfr/11/111.3"
---

# §111.3. Initiation of compliance matters (52 U.S.C. 30109(a)(1), (2)).

- (a) Compliance matters may be initiated by a complaint or on the basis of information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities.
- (b) Matters initiated by complaint are subject to the provisions of [11 CFR 111.4 through 111.7](/cfr/11/111.4..111.7.md). Matters initiated on the basis of information ascertained by the Commission in the normal course of carrying out its supervisory responsibilities are subject to the provisions of [11 CFR 111.8](/cfr/11/111.8.md). All compliance matters are subject to the provisions of 11 CFR [111.2](/cfr/11/111.2.md) and [111.9 through 111.23](/cfr/11/111.9..111.23.md).

## Notes

### Authority

Authority: 52 U.S.C. 30102(i), 30109, 30107(a), 30111(a)(8); 28 U.S.C. 2461 note; 31 U.S.C. 3701, 3711, 3716-3719, and 3720A, as amended; 31 CFR parts 285 and 900-904.

### Source

Source: 45 FR 15120, Mar. 7, 1980, unless otherwise noted.