In a licensing investigation, which document is essential for initiating action?

In a licensing investigation, a sworn written request for investigation is essential for initiating action because it formally documents the basis for the investigation. This request signifies that there are credible concerns or allegations about a licensee's conduct that require examination. It acts as a foundational step in the regulatory process, enabling the appropriate authorities to take necessary action based on sworn statements.

This document not only ensures that the investigation is warranted but also provides a clear and official account of what is being examined. It serves as an official trigger for the investigation process, creating a record that can be referred to throughout the inquiry. Without this formal request, initiating an investigation may lack the necessary legal grounding to proceed effectively.

Other documents, such as a licensee's last transaction record, license application, or broker's transaction logs, may provide additional context or information during the investigation but are not the critical starting point for the process itself. These items can be supportive in nature but do not hold the same weight as a sworn request, which is foundational to commencing a legal or regulatory review.