Series 7: 18.4.1.4. Formal Hearings

Taken from our Series 7 Online Guide

18.4.1.4. Formal Hearings

If the respondent contests a violation or if the regulators deny a settlement offer or waiver, the dispute will devolve to a formal hearing proceeding. The Chief Hearing Officer will appoint a Hearing Panel to conduct the disciplinary proceeding and issue a decision.

Within 21 days after a respondent has answered a complaint, the Hearing Officer may order a prehearing conf

Since you're reading about Series 7: 18.4.1.4. Formal Hearings, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7
Please Enable Javascript
to view this content!