Series 7: 18.4.1.2 Letters Of Acceptance, Waiver, And Consent

Taken from our Series 7 Top-off Online Guide

18.4.1.2 Letters of Acceptance, Waiver, and Consent

If the member firm or associated person admits to the violation, FINRA may propose and request that the respondent execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive the right to a hearing and appeal. Known as a Letter of Acceptance, Waiver, and Consent (AWC), it must

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