Response to findings for further consideration.
Effective Sep 5, 201239 SDR 33Source: 29 SDR 16, effective August 14, 2002; 35 SDR 165, effective December 22, 2008; 36 SDR 216, effective July 6, 2010; 39 SDR 33, effective September 5, 2012. | General Authority: SDCL 36-20B-12(9). | Law Implemented: SDCL 36-20B-36.
The firm under review shall issue a response to findings for further consideration. The response shall contain the following:
- (1) A statement addressing each finding in the reviewer's findings for further consideration;
- (2) A statement of agreement or disagreement with the findings of the reviewer. The firm must provide reasons if it disagrees with the findings;
- (3) A statement of agreement or disagreement with the corrective action recommended by the reviewer; and
- (4) A schedule for correcting the findings.
Source: 29 SDR 16, effective August 14, 2002; 35 SDR 165, effective December 22, 2008; 36 SDR 216, effective July 6, 2010; 39 SDR 33, effective September 5, 2012.
General Authority: SDCL 36-20B-12(9).
Law Implemented: SDCL 36-20B-36.