Board Action Required

If a registrant fails to respond as requested by the Board or its duly authorized agent, or, after receipt of a response or at any point in the course of investigation or inquiry into a complaint, the Board or its duly authorized agent determines that there is reason to believe that the alleged acts occurred and constitute a violation for which a registrant may be sanctioned bythe Board, the dulyauthorized agent or the Board may issue an order to show cause or offer to resolve the complaint by consent agreement or otherwise informally resolve the matter.