Series 3: 7.6.1.6. Penalties

Taken from our Series 3

7.6.1.6. Penalties

The NFA may, at the conclusion of the disciplinary proceeding, impose one or more of the following penalties:

• Expulsion or suspension from NFA membership for a specified period. A two-thirds vote of the members of the hearing panel or the Appeals Committee is required for expulsion. A suspended member will be liable for dues and assessments but shall have no membership rights during the suspension period.
• Bar or suspension for a specified period from a

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1.6. Penalties, you might also be interested in:

Series 63 - Practical Application

Series 14 - 8.3.7. Prime Brokerage Accounts

Series 51 - Municipal Fund Ads that Identify a Specific Product

Series 66 - Special Subscription Form

Series 66 - 9.1.6.1. Common Categories of Investment Advisory Fraud

Series 50 - Build America Bonds (BABs)

Series 7 - 3.6. Municipal Securities Rulemaking Board General Rules

Series 24 - Short Selling Rules

Series 24 - Freeriding

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

I passed first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

What a relief. I didn't get a chance to study that much, but your online sample questions were spot on and the reason why I passed [the Series 79].

Andrew Y., Pacific Palisades, CA