§38.708. Decisions.
17 C.F.R. § 38.708
Promptly following a hearing conducted in accordance with § 38.707 of this part, the disciplinary panel must render a written decision based upon the weight of the evidence contained in the record of the proceeding and must provide a copy to the respondent. The decision must include:
The notice of charges or a summary of the charges;
The answer, if any, or a summary of the answer;
A summary of the evidence produced at the hearing or, where appropriate, incorporation by reference of the investigation report;
A statement of findings and conclusions with respect to each charge, and a complete explanation of the evidentiary and other basis for such findings and conclusions with respect to each charge;
An indication of each specific rule that the respondent was found to have violated; and
A declaration of all sanctions imposed against the respondent, including the basis for such sanctions and the effective date of such sanctions.
Notes, amendments, and revision history
Source
Source: 77 FR 36700, June 19, 2012, unless otherwise noted.
Authority
Authority: 7 U.S.C. 1a, 2, 6, 6a, 6c, 6d, 6e, 6f, 6g, 6i, 6j, 6k, 6l, 6m, 6n, 7, 7a-2, 7b, 7b-1, 7b-3, 8, 9, 15, and 21, as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act, Pub. L. 111-203, 124 Stat. 1376.
Source
Source: 66 FR 42277, Aug. 10, 2001, unless otherwise noted.