Series 27: FINRA Adjudicatory Rules

Taken from our Series 27 Online Guide

FINRA Adjudicatory Rules

Conduct rules don’t have a lot of bite, of course, without an enforcement mechanism. The Exchange Act was well aware of that, and Section 15A provides self-regulatory organizations like FINRA with the authority to discipline member firms and associated persons for violations of any applicable laws or regulations, including its own rule

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