Series 3: Penalties

Taken from our Series 3 Penalties

The NFA may, at the conclusion of the disciplinary proceeding, impose one or more of the following penalties:

  • Expulsion or suspension from NFA membership for a specified period. A two-thirds vote of the members of the hearing panel or the Appeals Committee is required for expulsion. A suspended member will be liable for dues and assessments but shall have no membership rights during the suspension period.
  • Bar or suspension for a specified period from a

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