Series 14: 1.7.1.1. Settlement Offers

Taken from our Series 14 Online Guide

1.7.1.1. Settlement Offers

A respondent who admits to a violation may propose an offer of settlement at any time before or during a hearing. The offer must be in writing and it must contain the following:

Statement of the statutory or rules provisions alleged to have been violated

Description of the specific events or practices that constitute the alleged violation

Consent to the findings of fact and violations as stated in the complaint

Proposed sanctions, consistent with FINRA guidelines

By submitting an offer of settlement, the respondent waives any right to a hearing, to contest the validity of the order, to claim

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