Series 27: Acceptance, Waiver And Consent

Taken from our Series 27 Online Guide

Acceptance, Waiver and Consent

Once the Department of Enforcement or Department of Market Regulation believes a violation has been committed, the representative or member has two choices. The person can either admit to the violation and file a letter of Acceptance, Waiver and Consent (AWC) before a formal complaint has been issued, or the person can fight the allegation and allow the issuance of a formal complaint. After a formal complaint has been issued, the person can still settle at any time, according to the procedure above.

If the person executes the AWC letter, the person accepts a finding of violation, consents to sanctions, and waives the right to a

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