- (a) Any pleading filed by the State Securities Department staff or notice of hearing summary order issued by the Securities Commissioner for the purpose of commencing a proceeding shall be served on each respondent by personal service, registered or certified mail, or any express delivery service which provides a written confirmation of delivery.
(b) Following the date of commencement of a proceeding, all pleadings may be filed with the commissioner via:
- (1) United States Postal Service; or
- (2) Hand-delivery.
- (c) A pleading filed with the commissioner shall reflect the parties upon whom the pleading was served.
(d) A copy of every pleading filed with the commissioner by a party shall be served upon:
- (1) The attorney of record for every other party; and
- (2) Any person appearing pro se.
(e) Written interrogatories, requests for production, and other discovery requests shall not be filed with the commissioner, but shall be served by the party making the discovery request upon:
- (1) The attorney of record for every other party; and
- (2) Any person appearing pro se.