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Proposed Rules: Closed to Comments

Agency:
Comment By: 
Thursday, September 13, 2018
Proposed Rules Content: 

City of New York

Office of Administrative Trials and Hearings

 

Notice of Public Hearing and Opportunity to Comment on Proposed Rule

 

What are we proposing? The Office of Administrative Trials and Hearings (OATH) proposes to amend sections 6-23 and 6-25 of subchapter F of chapter 6 of title 48 of the rules of the city of New York, concerning registered representatives and misconduct.

 

When and where is the Hearing? OATH will hold a public hearing on the proposed rule. The public hearing will take place from 2:30 p.m. through 3:30 p.m. on Thursday, September 13, 2018. The hearing will be in the OATH Conference Room located at 66 John Street, 10th Floor, New York, NY 10038.

 

How do I comment on the proposed rules? Anyone can comment on the proposed rule by:

 

 

 

  • Mail.  You can mail written comments to OATH, Attention: Simone Salloum, Senior Counsel, 100 Church Street, 12th Floor, New York, NY 10007.

 

  • Fax. You can fax written comments to OATH, Attention: Simone Salloum, Senior Counsel, at 646-500-5742.

 

  • Hearing.  You can speak at the hearing. Anyone who wants to comment on the proposed rule at the public hearing must sign up to speak. You can sign up before the hearing by calling OATH at 212-436-0708, or you can also sign up in the hearing room before the hearing begins on September 13, 2018. You can speak for up to three (3) minutes.

 

Is there a deadline to submit written comments? You may submit written comments up to 5:00 p.m. on September 13, 2018.

 

What if I need assistance to participate in the Hearing? You must tell us if you need a reasonable accommodation of a disability at the Hearing. You must tell us if you need a sign language interpreter. You can tell us by mail at the address given above. You may also tell us by telephone at 212-436-0708. Advance notice is requested to allow sufficient time to arrange the accommodation. Please tell us by September 6, 2018.

 

This location has the following accessibility option(s) available: Wheelchair Accessible.

 

Can I review the comments made on the proposed rule? You can review the comments that have been submitted online by visiting the NYC rules website at http://rules.cityofnewyork.us/. A few days after the hearing, a transcript of the hearing and copies of the written comments will be available to the public at OATH, 66 John Street, 10th Floor, New York, NY 10038.

 

What authorizes OATH to make this rule? Section 1049(2)(a) of the New York city charter (“charter”) authorizes OATH to make this proposed rule. This proposed rule was included in OATH’s regulatory agenda for this fiscal year.

 

Where can I find OATH’s rules? OATH’s rules are in title 48 of the rules of the city of New York.

 

What laws govern the rulemaking process? OATH must meet the requirements of section 1043(b) of the charter when creating or changing rules. This notice is made according to the requirements of sections 1043(b) and 1049(2)(a) of the charter.

 

 

Statement of Basis and Purpose of Proposed Rule

 

The Office of Administrative Trials and Hearings (“OATH”) proposes to amend sections 6-23 and 6-25 of subchapter F of chapter 6 of title 48 of the rules of the city of New York, concerning registered representatives and misconduct. To address the problem of registered representatives appearing on behalf of respondents without proper authorization and without knowledge of the alleged violations in the summonses, OATH proposes the following amendments to section 6-23 which:

 

  • Define a representative as an individual, not an attorney admitted to practice in New York State, who is authorized by a Respondent to appear on behalf of the Respondent;
  • Require registered representatives to register every two years and clarify that the representative must submit proof of identity to register;
  • Remove the statement concerning the consequences of failing to register as it is unnecessary since registration is a condition to appearing on behalf of a respondent;
  • Create an affirmative obligation on the representative to accurately represent his or her qualifications or services;
  • Clarify that the obligation of a registered representative to exercise due diligence includes demonstrating knowledge of the facts and subject matter of the summons, complying with adjournment and rescheduled hearing dates, and ensuring that oral and written statements and  documents submitted to the Tribunal are correct;
  • Require that registered representatives act in the Respondent’s best interest and avoid any conflicts that would impair the representative’s ability to do so; and
  • Require the submission of an “Authorization for Registered Representative to Appear” form.

 

To update and clarify types of misconduct and patterns of misconduct—particularly those involving dishonesty and integrity—currently reflected in registered representative activities (e.g.,  misrepresenting themselves as an attorney, providing false information, and soliciting on Tribunal premises), OATH proposes the following amendments to section 6-25 which:

 

  • Clarify the existing types of misconduct, by using consistent terminology;
  • Prohibit making a statement to the Tribunal that a person knows or reasonably should have known to be false, fraudulent, or misleading;
  • Prohibit solicitation of parties in the public spaces of buildings within which Tribunal premises are located, or on the premises of any city agency or governmental subdivision that issues summonses returnable to the Tribunal;
  • Create a rebuttable presumption that the exchange of money at the Tribunal is evidence of solicitation;
  • Prohibit targeted solicitation concerning a summons returnable to the Tribunal;
  • Prohibit requesting lists of names and addresses from the Tribunal for the purpose of solicitation or fundraising;
  • Prohibit the misrepresentation of a person as an attorney or government employee if that person is neither;
  • Prohibit any conduct or course of conduct that demonstrates a lack of honesty and integrity in the representation of parties before the Tribunal, or any other tribunal or court.
  • Remove former paragraph (1) of subdivision (b) concerning ex parte communications (communications between a party and a hearing officer about the merits of a case without all parties present), and move former paragraph (2) of subdivision (b), concerning communicating with a Hearing Officer to influence a decision, to paragraph 5 of subdivision (a). 
  • Subject respondents and witnesses, in addition to attorney and representatives, to penalties for misconduct; and
  • Subject attorneys, in addition to representatives, to summary suspension or bar.   

 

This proposal was included in OATH’s Fiscal Year 2018 and 2019 Regulatory Agendas.

 

Subject: 

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Location: 
10th Floor Conference Room
66 John Street 10th Floor
New York, NY 10038
Contact: 

OATH Rules: (212) 436-0708