Series 14: 1.7.1. Code Of Procedure

Taken from our Series 14 Online Guide

1.7.1. Code of Procedure

FINRA’s Code of Procedure contains detailed information regarding how FINRA can bring punitive action against member firms and associated persons for statutory and rules violations. FINRA may issue a complaint against any member firm or associated person who is suspected of violating any rule, law, or regulation that FINRA has jurisdiction to enf

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