Series 3: 7.6.1.6. Penalties

Taken from our Series 3

7.6.1.6. 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

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.6.1.6. Penalties, you might also be interested in:

Series 7 - 2.14.1 Mortgage-Backed Securities

Series 24 - 2.3.2. Restrictions on Member Compensation

Series 24 - Formal Hearings

Series 50 - Monetary Policy

Series 65 - Units and Assumed Interest Rate (AIR)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

You guys produce a great product, and your 82 materials really saved my life. Thanks.

Joshua M. Salisbury, Salisbury Financial, Atlanta, GA

I passed my Series 99 this past week on my first attempt. I had no previous brokerage and/or investment experience, just a background in finance.

I utilized the combination package with the textbook, video lectures, quiz simulator, and other materials. When I study for future FINRA exams I will utilize Solomon software and recommend it to my colleagues. I learn the most by listening and enjoyed the video lectures that had PowerPoint slides I could download and make notes on. The practice questions were fantastic at reinforcing the material and highlighting areas that I needed extra review on.

Tiffany Kovacevich, PNC Investments, Cleveland, OH