Section 710IAC4-12-3. Notice of proceedings and hearings

   (a) In cases in which the division is the moving party, a notice of the initiation of proceedings shall be given to each respondent by any manner of service provided for service of summons in actions at law under the Indiana Rules of Trial Procedure, or as otherwise provided by law.

  (b) The parties or persons entitled to notice shall be:

(1) timely informed of the nature of the legal authority and jurisdiction under which the proceeding has been initiated; and

(2) furnished a short and simple statement of the matter of fact and law to be considered and determined.

In proceedings in which an answer is directed under section 5 of this rule, the order for proceeding shall set forth the action proposed and the factual and legal basis alleged in detail as will permit a specific response.

  (c) Where a notice of initiation of proceedings or an order for proceedings is accompanied by a notice of hearing issued at the instance of the commissioner, the respondent shall be deemed to have consented to the date for the hearing set thereby unless, within five (5) business days of receipt by the respondent of the notice of hearing, the respondent requests in writing that the hearing be set within any period required under IC 23-19.

  (d) A notice of hearing after the service of notice of the initiation of proceedings shall be served by any manner provided for service after the service of summons under the Indiana Rules of Trial Procedure.

  (e) Unless otherwise ordered by the commissioner, notice of any public hearing shall be given general circulation by release to the public press.

  (f) All:

(1) pleadings;

(2) papers;

(3) discovery;

(4) briefs;

(5) proposed findings and conclusions; or

(6) applications for orders;

shall be filed with the commissioner and shall, at the time of filing, be served upon all parties to the proceeding by any manner provided for service after service of the summons under the Indiana Rules of Trial Procedure.

  (g) Proof of service must be made by filing with the commissioner an affidavit of service or, in the case of any attorney at law, a certificate of service indicating the manner of service on the commissioner and any other parties.

  (h) In any proceeding, amendments to the matters of fact and law to be considered may be authorized, for cause shown, by the commissioner at any time. (Securities Division; 710 IAC 4-12-3; filed Jun 28, 2010, 2:36 p.m.: 20100728-IR-710100044FRA; readopted filed May 12, 2016, 1:47 p.m.: 20160608-IR-710160136RFA)