Series 7: 18.4.1.6. Release Of Disciplinary Complaints And Decisions

Taken from our Series 7 Online Guide

18.4.1.6. Release of Disciplinary Complaints and Decisions

FINRA must release information to the public about a disciplinary complaint that contains an allegation of any violation of a statute, rule, or regulation under FINRA’s jurisdiction. It may also release information on complaints that involve significant policy or enforcemen

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