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15.
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Since January 1, 2000, has your state taken any actions against sellers of pre-need funeral plans for violations of state rules or regulations? | ||
| (Check only one answer.) | |||
| 1. | Yes (Continue with question 16.) | ||
| 2. | No (Click here to go to question 17.) | ||
| 3. | No response (Click here to go to question 17.) | ||
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16.
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Please indicate the type of action(s) -- and associated number of actions -- your state has taken since January 1, 2000, against sellers of pre-need funeral plans (to include companies and their sales persons) for violations of state rules or regulations. |
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a. Notice of non-compliance | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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b. Letter of reprimand | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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c. Assessment of investigative costs | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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d. Monetary fine | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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e. Probation | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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f. Voluntary relinquishment of license, certificate, or registration | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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g. Suspension of license | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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h. Revocation of license | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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i. Civil or criminal prosecution | ||
| (Check only one answer.) | |||
| 1. | Yes, we took this action | ||
| 2. | No, we did not take this action | ||
| 3. | Not sure if we took this action | ||
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If yes, please enter the number of such actions taken since January 1, 2000: (Please enter numbers only. If number is unknown, leave space blank.) |
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j. Other Actions Please describe any other types of actions taken and indicate number of each type of action taken since January 1, 2000. |
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17.
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What is your state's biggest challenge in enforcing your state's rules or regulations involving sales of pre-need funeral plans? | ||
| (Check only one answer.) | |||
| 1. | Lack of regulations for enforcing state laws | ||
| 2. | Regulations are unclear or vague | ||
| 3. | Insufficient funds and/or staff to enforce regulations | ||
| 4. | Insufficient enforcement structure in place | ||
| 5. | Other - Please explain in question 17a. below: | ||
| 6. | No challenges in enforcing rules or regulations | ||
| 7. | No response | ||
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17a. If you answered "Other" in question 17 above, please enter your description below. |
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