Series 82: 4.7. FINRA Adjudicatory And Dispute Resolution Rules

Taken from our Series 82 Top-off Online Guide

4.7. FINRA Adjudicatory and Dispute Resolution 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(b)(7) provides SROs like FINRA with the authority to discipline member firms and associated persons for violations of any applicable laws or regulations, including its own rules. FIN

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