4.01A.1.1 the investigation involves a possible breach of the SFA, SFR, this Rulesand/or any applicable laws;

4.01A.1.2 the Clearing House receives a written complaint involving a Clearing Member, director, officer, employee or agent;

4.01A.1.3 there is a dispute between Clearing Members on a clearing or settlement matter; or

4.01A.1.4 in the Clearing House's opinion, the circumstances warrant.