6.6.  FINRA Adjudicatory and Dispute Resolution Rules

FINRA has the authority to discipline member firms and associated persons for violations of any applicable laws or regulations, including its own rules. Any FINRA disciplinary action must clearly state:

• the act or practice that the accused is said to have engaged in or omitted

• the specific law, rule, or regulation that the accused is said to have violated

• the sanction imposed if the accused was found to be in violation

When investigating a possible violation, FINRA staff has the right to require a member firm or associated person to provide information and testify under oath on any matter involving an investigation, complaint, examination, or