Series 27: Settlement Offers

Taken from our Series 27 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 anyone con

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