Series 28: Minor Rule Violation Plan (MRVP) Letter

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Minor Rule Violation Plan (MRVP) Letter...

a letter that accepts a finding of violation, consents to the imposition of sanctions, and agrees to waive the right to a hearing and appeal. It must describe the act or practice under complaint, the rule or regulation violated, and the sanctions to be imposed.

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