Oklahoma Administrative Code
Title 660 - Department of Securities
Chapter 2 - Organization and Procedures of Department of Securities
Subchapter 9 - Individual Proceeding Practices and Procedures
Section 660:2-9-6 - Conduct of individual proceeding

Universal Citation: OK Admin Code 660:2-9-6

Current through Vol. 41, No. 13, March 15, 2024

(a) Order of proceeding. The hearing shall proceed as follows:

(1) The Administrator or the Hearing Officer shall call the hearing to order;

(2) the Administrator or the Hearing Officer shall briefly explain the purpose and nature of the hearing;

(3) the Administrator or the Hearing Officer may allow the parties to present preliminary matters;

(4) the Administrator or the Hearing Officer may allow the parties to make opening statements;

(5) the Administrator or the Hearing Officer shall state the order of presentation of evidence;

(6) witnesses shall be sworn or put under affirmation to tell the truth; and

(7) the Administrator or the Hearing Officer may allow the parties to present summations and closing argument.

(b) Rules of evidence. The rules of evidence need not be strictly followed or observed by the Administrator or the Hearing Officer during the hearing in order to obtain a full and fair disclosure of facts relevant to the matters at issue. However, the admissibility of evidence shall be governed by the provisions of Section 310 of the Administrative Procedures Act.

(c) Official notice. The Administrator or the Hearing Officer may take official notice of judicially cognizable general, technical, or scientific facts.. In addition, notice may be taken of generally recognized practices and procedures relating to the applicable industry. Parties shall be notified either before or during the hearing of the material noticed and they shall be afforded an opportunity to contest the material so noticed. The Administrator's or the Hearing Officer's experience, technical competence, and specialized knowledge may be used in evaluating the evidence presented.

(d) Examination of witnesses.

(1) Witnesses shall testify under oath or affirmation. If the Administrator or the Hearing Officer, determines that a witness is hostile or unresponsive, the Administrator or the Hearing Officer may authorize the party calling the witness to proceed as if the witness were under cross-examination.

(2) A party may conduct direct examination or cross-examination of a witness in order to obtain a full and fair disclosure of facts relevant to the matters at issue.

(3) Upon request by any party, the Administrator or the Hearing Officer may exclude witnesses other than parties from the hearing room when those witnesses are not testifying. A party that is not a natural person may designate an individual as its representative to remain in the hearing room, even though the individual may also be a witness. An expert witness who is to render an opinion based on the testimony given at the hearing may remain in the hearing room during all testimony. The Administrator or the Hearing Officer may order the witnesses, parties, their counsel, and any person under their direction not to disclose to any sequestered witness the substance of the testimony, exhibits, or other evidence introduced during the absence of the witness.

(4) No witness shall testify by telephone or other electronic means unless by agreement of the parties or by order of the Administrator or the Hearing Officer.

(5) The Administrator or the Hearing Officer may question any witness provided that all parties shall have the right of cross-examination of those witnesses.

Amended at 15 Ok Reg 3411, eff 7-15-98; Amended at 21 Ok Reg 2489, eff 7-1-04; Revoked at 24 Ok Reg 2329, eff 7-1-07; Amended at 30 Ok Reg 2065, eff 8-1-13

Disclaimer: These regulations may not be the most recent version. Oklahoma 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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