Series 28: Acceptance, Waiver And Consent (AWC) Letter

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

Definition of the term Acceptance, Waiver And Consent (AWC) Letter...

a letter in response to a FINRA complaint in which the accused accepts a finding of violation, consents to sanctions, and waives the right to a hearing and appeal. The letter must describe the act or practice under complaint, the rule or regulation violated, and the sanctions to be imposed.

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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

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