Series 24: Acceptance, Waiver, And Consent

Taken from our Series 24 Online Guide

Acceptance, Waiver, and Consent

If the member firm or associated person admits to the violation, the Department of Enforcement or Department of Market Regulation may propose and request that the respondent execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive the right to a hearing and appeal. The letter must de

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