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You can file a complaint by submitting an online complaint form.
Once a complaint has been filed, the respondent (sponsor or entity complained against) is sent a copy of the allegation and is requested to send a written response to the complaint. Depending on the nature of the response, additional information from all parties may be requested. Our investigation may require:
- access to the CPE program sponsor’s participation records
- review of the CPE program sponsor’s promotional materials
- an independent review of a program offered by the CPE program sponsor
1. If NASBA determines that the sponsor is in compliance with the Standards and/or other National Registry program requirements, then the investigation will be closed and a resolution letter is sent to the sponsor.
2. If the investigation indicates that non-compliance has occurred, then the sponsor will be required to correct issues within 60 days of notification. NASBA reviews the corrective action plan. If the plan is accepted, NASBA will send an acknowledgement letter.
3. Serious non-compliance matters that cannot readily be corrected will result in the removal of the sponsor from the National Registry of CPE Sponsors. Failure to respond to NASBA’s request to correct non-compliance matters or to provide evidence that appropriate action has been taken within the 60-day period will result in removal from the National Registry of CPE Sponsors.