(a)

1. (1) All requests for relief will be by motion.
2. (2) Motions must be made in writing or orally if made on the record during a hearing, unless the Securities Commissioner directs that such motion be reduced to writing.

(b)

1. (1)

   1. (A) A motion must fully state the relief sought and the grounds relied upon.
   2. (B) It may be accompanied by a proposed order.
2. (2) Written memoranda, briefs, affidavits, or other relevant materials or documents may be filed in support of or in opposition to a motion.

(c)

1. (1) The original written motion will be filed with the commissioner.
2. (2) There shall be an original and two (2) copies of each pleading and each exhibit.

(d)

1. (1) A response to a motion must be filed by a party within ten (10) days of the date of service of a written motion.
2. (2) This time may be extended as permitted by the commissioner for good cause shown.

(f)

1. (1) The commissioner shall not rule on any oral or written motion before each party has had an opportunity to respond.
2. (2) The failure of a party to oppose a motion is deemed consent by that party to the entry of an order granting the relief sought.

(g)

1. (1) The commissioner or his or her designee as hearing officer may conduct such proceedings and enter such orders as are deemed necessary to address issues raised by the motion.
2. (2) However, a hearing officer, other than the commissioner, will not enter a dispositive order unless expressly authorized in writing to do so.

(h) Upon written request from a respondent made no less than ten (10) days prior to a scheduled hearing, the following information shall be provided:

1. (1) The names and addresses of persons whom the State Securities Department staff intends to call as witnesses at any hearing;
2. (2) Any written or recorded statements and the substance of any oral statements made by the license holder, or a copy of the same;
3. (3) Any reports or statements of experts made in connection with the particular case, including results of physical or mental examinations, scientific tests, experiments, or comparisons, or copies of the same;
4. (4) Any books, papers, documents, photographs, or tangible objects which the staff intends to use in any hearing or which were obtained from or belong to the license holder, or copies of the same; and
5. (5) Disclosure shall not be required of research or records, correspondence, reports, or memoranda to the extent that they contain the opinions, theories, or conclusions of the staff or members of the legal staff or other state agents of the staff.