Title 13 Part 201

This Part shall govern the conduct of hearings held by the Bureau of Investor Protection and Securities of the Department of Law pursuant to chapter 730, Laws of 1980, the New York Franchise Sales Act, and as amended from time to time.

The notice of hearing shall be in writing and shall state:

The hearing shall be conducted by a hearing officer appointed by the Attorney General or his designee. Hearings shall be assigned to a particular hearing officer by the Attorney General or his designee. The hearing officer shall be an attorney who has not worked on or otherwise become familiar with the facts of the matter in issue, and shall exercise his or her judgment independently and impartially.

Unless otherwise ordered by the Attorney General in the public interest, hearings held by the Attorney General to refuse registration shall be open to the public. Stenographic records of hearings shall be made and transcripts thereof may be furnished to any party upon payment to the stenographer of the reasonable cost thereof, as established by the Department of Law.

An application for an adjournment shall be made to the hearing officer and shall set forth in detail the grounds therefor. Adjournments may be granted in the discretion of the hearing officer where good cause exists.

The notice of hearing may be amended upon application by the trial examiner to the hearing officer at any time prior to the conclusion of the hearing. If such application is granted, the hearing officer may, in his discretion, grant additional time to the applicant for further preparation.

The hearing officer shall not be bound by common law or statutory rules of evidence or by technical or formal rules of procedure in the conduct of hearings. He shall have authority to administer oaths, issue subpoenas, rule upon offers of evidence, and otherwise so regulate the course of the hearings as to preserve fundamental concepts of fairness and to effectuate the purposes and provisions of the act.

An applicant shall be afforded reasonable opportunity to present testimony under oath, or other evidence relevant and material to the subject matter of the hearing, and to cross-examine any witnesses who testify at such hearing. At reasonable request of an applicant, the hearing officer shall issue subpoenas to compel the attendance of witnesses and the giving of testimony or production of other evidence. The applicant shall effect his own service.

Oral arguments shall be made only before the hearing officer and shall be included in the record of the hearing. Such oral arguments may, in the discretion of the hearing officer, be curtailed, provided that a party shall be given an opportunity to submit his argument in writing. Briefs as to facts or law shall be received and may be requested to be submitted. The hearing officer may fix the time within which briefs shall be filed. Briefs received subsequent to such time need not be considered.

Upon the conclusion of a hearing, the hearing officer shall by written memorandum set forth his findings and orders.

After the conclusion of a hearing but prior to the making of an order, a hearing may, upon petition and in the discretion of the hearing officer, be reopen for the presentation of new evidence. Such petition to reopen the hearing shall state in detail the nature of the new evidence, together with the reasons for the failure to submit such evidence prior to the conclusion of the hearing. The hearing officer may, upon his or her own motion and upon reasonable notice to the parties, reopen a hearing for the presentation of additional evidence.

All orders of the hearing officer shall be in writing and shall be filed with the Department of Law, which shall cause certified copies thereof to be served upon the applicant.