1. (a) Failure by a licensee to comply with the continuing education requirements in the absence of a valid exemption, or falsification of records of compliance by the licensee, or knowing acceptance of a certificate of completion for a course which does not comply with the registration requirements of this subchapter may, after notice and opportunity for hearing, subject the licensee to an administrative penalty, suspension, revocation or cancellation of a license in accordance with the Insurance Code, Articles 1.10, §7; 21.07-1, §12; 21.14, §16; 21.07-3, §12; and/or 21.07-4, §17 or any other applicable laws or statutes. The department considers the following to be some examples of violations of this subchapter:

   1. (1) The use, submission or filing of any document which is all or in part false or deceptive for the purpose of complying with the continuing education statutes and this subchapter, or in responding to any inquiry from the department concerning compliance.
   2. (2) Obtaining or accepting any certificate of completion or certificate of attendance from a provider when the licensee has not met the minimum completion requirements.
   3. (3) Cheating or using unauthorized materials or receiving unauthorized assistance during an examination.

2. (b) Failure by a provider to comply with this subchapter, or falsification of any records by the provider or participation in any activities which allow circumvention of the requirements of the applicable statutes or this subchapter may subject the courses of the provider to be immediately removed from the list of registered courses. Failure by a provider to comply with this subchapter may also, after notice and opportunity for hearing, subject the provider to be prohibited from participating in any department registered continuing education programs for a period not to exceed one year. The department considers the following to be some examples of violations of this subchapter:

   1. (1) Holding out to the public that the provider is authorized to offer department registered continuing education courses prior to the receipt of approval of the provider application from the department.
   2. (2) Advertising as registered and soliciting attendance for any course prior to notice of registration of such course from the department.
   3. (3) The use of unqualified instructors to present otherwise registered continuing education courses.
   4. (4) Failure to maintain course records for the required time period.
   5. (5) The use, submission or filing of any document for the purpose of complying with the continuing education statutes and this subchapter, or in responding to any inquiry from the department concerning continuing education, when the provider knows or should know that the document, or any part of it is false or deceptive.
   6. (6) Failure to use the approved course outline.
   7. (7) Failure to notify the department of changes to any course which are required to be reported.
   8. (8) Failure to conduct the certified course, as specified in the course application.
   9. (9) Failure to monitor course attendance where monitoring is required.
   10. (10) Failure to provide timely refunds to participants when required.
   11. (11) Failure to file or the late filing of any form or other required information.
   12. (12) Failure to insure an appropriately monitored examination where monitoring is required.
3. (c) A single violation may subject the provider to suspension of the department registration for each course for not more than one year.

Source Note:The provisions of this §19.1013 adopted to be effective May 27, 1994, 19 TexReg 3697; amended to be effective January 10, 1997, 22 TexReg 49.