23 CAR § 302-929 – Form

(a) The form to be followed in the filing of pleadings pursuant to these rules will vary to the extent necessary to provide for the nature of the legal rights, duties, or privileges involved therein.
(b) Except as otherwise provided by law or the Securities Commissioner otherwise determines, the petitions and requests shall include the following:
1. (1)
  1. (A) Each pleading shall incorporate a statement setting forth clearly and concisely the authorization or other relief sought.
  2. (B) The pleading shall set forth:
(i)
(a) (a) Unless the pleading is filed by the staff, the exact legal name of each person seeking the authorization or relief and the address or principal place of business of each such person.
(b) (b) If any applicant or petitioner is a corporation, limited liability company, partnership, trust, association, or other organized group, it shall also specify the state under the laws of which it was created or organized;
1. (ii)
(a) (a) The name, title, address, and telephone number of the attorney to whom correspondence or communications in regard to the petition or application are to be addressed.
(b) (b) Notice, orders, and other papers may be served upon the person so named and such service shall be deemed to be service upon the petitioner or applicant;
1. (iii) A concise and explicit statement of the facts on which the commissioner is expected to rely in granting the authorization or other relief sought; and
  1. (iv) An explanation of any unusual circumstances involved in the petition or request to which the commissioner will be expected to direct particular attention, including the existence of emergency conditions or any request for the granting of interlocutory relief by way of an interim order during the pendency of the petition or application;
2. (2) There shall be attached to the pleading any exhibits, sworn written testimony, data, models, illustrations, or other materials that the petitioner or movant deems necessary or desirable to support the granting of the pleading or that any statute or regulation may require for the lawful determination of the petition or request;
3. (3)
  1. (A) All documents, whenever practicable, shall be printed, typewritten, or reproduced on one (1) side of the paper only, and double-spaced with a normal margin on all four (4) sides.
  2. (B) All pleadings shall be on paper eight and one-half inches by eleven inches (8 1/2" x 11”) in size; and
4. (4) Pleadings shall show:
  1. (A) The venue as “State Securities Department”;
  2. (B) The title of the proceedings;
  3. (C) The docket number assigned; and
  4. (D) An appropriate designation, e.g., petition, request, motion, brief, complaint.