Series 82: 4.7.3. Code Of Procedure

Taken from our Series 82 Online Guide

4.7.3. Code of Procedure

FINRA may issue a complaint against any member firm or associated person who is suspected of violating any rule, law, or regulation under FINRA’s jurisdiction. Complaints must be delivered in writing to the accused person and the Office of Hearing Officers. The Office of Hearing Officers will promptly assign a Hearing Officer to preside ov

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: 4.7.3. Code Of Procedure, you might also be interested in:

Series 66 - 2.4.17. Money Market Securities

Series 7 - 14.1. Opening a Customer Account

Series 7 - 14.3.1. Power of Attorney

Series 51 - Selling 529 Plans

Series 26 - Becoming a Member: Broker-Dealers

Series 7 - Chapter 9 Practice Question Answers

Series 6 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I successfully passed on the first attempt my Series 82 exam today after using the Solomon Exam Prep course. It is an excellent online study tool. The entire suite of exam prep offerings were very helpful as I could study at my own pace and customize my learning. I used the flashcards, quick and longer exams simulations and found the "Fast Facts" extremely useful as a final prep summary. I would highly recommend Solomon Exam Prep to anyone either just entering the securities industry or adding new licenses during their career.

Michael Ryan, Growth Capital Services. San Francisco, CA

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN