Compilation of Rules and Regulations of the State of Georgia
Department 590 - RULES OF OFFICE OF SECRETARY OF STATE
Chapter 590-4 - COMMISSIONER OF SECURITIES
Subject 590-4-6 - RULES GOVERNING ADMINISTRATIVE HEARINGS
Rule 590-4-6-.20 - Hearing Procedure

Universal Citation: GA Rules and Regs r 590-4-6-.20

Current through Rules and Regulations filed through March 20, 2024

(1) The Hearing Officer shall conduct a fair and impartial hearing, take action to avoid unnecessary delay in the disposition of the proceedings, and maintain order. For these purposes, the Hearing Officer may:

(a) Arrange for, and issue, notices of the date, time, and place of hearings and conferences;

(b) Establish the methods and procedures to be used in the development of the evidence;

(c) Hold conferences to settle, simplify, determine, or strike any of the issues in a hearing, or to consider other matters that may facilitate the expeditious disposition of the hearing;

(d) Administer oaths and affirmations;

(e) Regulate the course of the hearing and govern the conduct of the participants;

(f) Examine witnesses called by the parties;

(g) Rule on, admit, exclude, or limit evidence;

(h) Establish the time for filing motions, testimony, and other written evidence, exhibits, briefs, proposed findings of fact and conclusions of law, and other submissions;

(i) Rule on motions and other procedural matters before the Hearing Officer, including, but not limited to, motions to dismiss for lack of jurisdiction or motions for summary determination;

(j) Order that the hearing be conducted in stages;

(k) Allow cross-examination;

(l) Order that any information so entitled under applicable state or federal rule or statute be treated as confidential or privileged information and be accorded the degree of confidentiality required thereby;

(m) Reprimand, or exclude from the hearing, any person for any indecorous or improper conduct committed in the Hearing Officer's presence;

(n) Subpoena and examine any witnesses or evidence the Hearing Officer believes necessary for a full and complete record; and

(o) Take any action not inconsistent with the Act and these Rules or the APA for the maintenance of order at the hearing and for the expeditious, fair, and impartial conduct of the proceeding.

(2) When two or more parties have substantially similar interests and positions, the Hearing Officer may limit the number of attorneys or other party representatives who will be permitted to cross-examine and to argue motions and objections on behalf of those parties. Attorneys may, however, at the Hearing Officer's discretion, engage in cross-examination relevant to matters that, in the Hearing Officer's opinion, have not been adequately covered by previous cross-examination.

(3) Whenever any party raises issues under either the Georgia or United States Constitution, the sections of any laws or rules constitutionally challenged and any constitutional provisions such laws or rules are alleged to violate must be stated with specificity. In addition, an allegation of unconstitutionality must be supported by a statement either of the basis for the claim of unconstitutionality as a matter of law or of the facts under which the party alleges that the law or rule is unconstitutional as applied to the party. Although the Hearing Officer is not authorized to resolve constitutional challenges to statutes or rules, the Hearing Officer may, in the Hearing Officer's discretion, take evidence and make findings relating to such challenges.

(4) Any hearing that is required, or permitted, hereunder may be conducted by utilizing remote telephonic or electronic communications if the record reflects that all parties have consented to the conduct of the hearing by use of such communications or that the Hearing Officer has determined that such procedure will not jeopardize the rights of any party to the hearing.

(5) In proceedings before the Hearing Officer, if any party or an agent or employee of a party disobeys or resists any lawful order or process; or neglects to produce, after having been ordered to do so, any pertinent book, paper, or document; or refuses to appear after having been subpoenaed; or, upon appearing, refuses to take the oath or affirmation as a witness; or after taking the oath or affirmation, refuses to testify; or disobeys any other order issued by the Hearing Officer, any party may apply to, and the Hearing Officer shall certify the facts to, the Superior Court of the county where the offense is committed for appropriate action, including a finding of contempt. In addition to or in lieu of said remedy, the Hearing Officer may impose sanctions against any party due to the disobedience or resistance of that party or hism her or its privy, including, but not limited to, striking the party's pleading, entering a summary order against the party, or take an appropriate adverse evidentiary inference.

O.C.G.A. Secs. 10-5-10, 10-5-16, 10-5-70, 10-5-71, 10-5-73, 10-5-74, 50-13-13, 50-13-15.

Disclaimer: These regulations may not be the most recent version. Georgia may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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