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8 Cards in this Set
- Front
- Back
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Code of Procedure
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-Purpose is to handle trade practice complaints
-Require b/ds to keep and maintain a current copy of the FINRA manual |
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Dept of Enforcement or dept of market regulation
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1.Will establish a hearing panel(hearing officer and 2 panelists).
2.Must issue a written opinion in 60 days 3.The respondant has 25 days to appeal to the National Adjudicatory Council |
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National Adjudicatory Council
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1.Can affirm, modify, reverse, inc, or reduce any sanction or impose other sanction they feel appropriate. Their decision amy be appealed to the SEC
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T or F
The max penalty a Hearing Panel can impose for Minor Rule Violations is a fine of $5k(used to be $2,500) |
T
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FINRA will release to the public info concerning the following disciplinary actions
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1.Suspension or revocation
2.Suspension or barring 3.Imposition of montary penalty of $10k or more |
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T or F
FINRA has jurisdiction over insurance, commodities, and residential real estate |
F
They NOT |
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T or F
FINRA has the authority to establish min and max sentences |
F
Courts do this,not FINRA |
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Office of Ombudsman
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NEAUTRAL and CONFIDENTIAL FORUM for member firms and their employees or public inv
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