Series 82: 4.7.2. Sanctions

Taken from our Series 82 Online Guide

4.7.2. Sanctions

FINRA may impose the following sanctions on a member firm or associated person for any violation of federal securities laws, rules, regulations, FINRA rules, or for any neglect or refusal to comply with a FINRA order, direction, or decision:

• Censure or fines

• Suspension or expulsion

• Prohibition of associating with other member firms

• Imposition of a temporary cease and desist order

• Any other fitting sanction

Upon seven days’ written notice, FINRA may suspend o

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