Don’t Ghost the Commission: Silence Isn’t Compliance

By: Leah Green

The Commission has observed a growing pattern of delayed, incomplete, or entirely absent responses to its official Letters of Inquiry relating to a complaint against a licensee. These lapses have been accompanied by a wide range of explanations from claims that letters were never received, to personal health issues. Some receive no explanation at all. The trend represents a significant compliance concern.

Commission Rule A .0601(e) requires brokers to provide a response to the Commission within 14 days of receipt of a Letter of Inquiry. The deadline is mandatory. This core professional obligation is designed to ensure transparency, accountability, and compliance. When circumstances necessitate additional time to respond, brokers and their lawyers may request an extension; such requests should be made before the deadline passes.

To ensure full compliance, the Commission urges all licensees to take two critical steps:

1. Maintain Updated Contact Information
   1. Ensure that mailing addresses, email addresses, and phone numbers on file are accurate and current by using the Licensee Login.  These are the ways in which the Commission will attempt to contact you so it is your responsibility to keep them current as required by Commission Rule A .0103. 
2. Monitor Deadlines Closely
   1.  Pay close attention to all correspondence from the Commission and respond promptly within the required 14‑day window. 

Failure to respond to inquiries in a timely manner may result in disciplinary action. The emphasis on timely communication reflects the Commission’s commitment to maintaining professional standards and ensuring that all licensees meet their regulatory responsibilities.