Series 24: Settlement Offers

Taken from our Series 24 Online Guide

Settlement Offers

A respondent who admits to a violation may propose an offer of settlement at any time before or during a hearing. The offer must be in writing, and it must contain the following:

• A statement of the statutory or rules provisions alleged to have been violated
• A description of the specific events or practices that constitute the alleged violation
• A consent to the findings of fact and violations as stated in the complaint
• Proposed sanctions, consistent with FINRA guidelines

By submitting an offer of settlement, the respondent waives any right to a hearing, to contest the validity of the order, to claim bias by any

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I passed my Series 24 today with an 80% thanks to Solomon Test Prep! I found the most benefit from using the practice exams as a learning tool, reading each answer explanation as I went along, regardless of a(n) correct/incorrect response. I found that for this exam, understanding the concepts is equally as important as memorization! Good luck!

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