Series 24: 2.5.3.1. Settlement Offers

Taken from our Series 24 Online Guide

2.5.3.1. 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:

• A statement of the statutory or rules provisions alleged to have been violated

• A description of the specific events or practices that constitute the alleged violation

• A 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 bias by anyone connected with th

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 2.5.3.1. Settlement Offers, you might also be interested in:

Series 65 - 2.8.2 Subordinated Debentures

Series 24 - 2.1.1. Office of Supervisory Jurisdiction (OSJ)

Series 24 - Series 24 Online Guide

Series 7 - Exercise

Series 6 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just passed the series 24! It is, by far, the hardest test that I have ever taken. I had failed it 4 times using other study materials. I have never felt more defeated! Solomon Exam Prep is the best! I took over 154 practice tests...without seeing the same question twice. I was able to finally grasp the material and passed! My only regret is that I did not use the Solomon Exam Prep on my first attempt!

Bill Harpe, Capital Choice. Greensboro, GA

I would just like to say that Solomon’s customer service was excellent. The material was clear and easy to understand and I feel that it prepared me extremely well for my exam. I found the study outline to be the most helpful in keeping me on track. I would definitely refer the material to anyone taking the Series 24. Thank you to the Solomon team for helping me pass my 24!

Tamaqua Roland, Philadelphia, PA

I originally started studying for the series 24 with Test Teachers... After being frustrated with confusing material, out of date information, contradicting questions/answer/study guides, I bought Solomon's practice exams... After one test, two things became clear: I was grossly unprepared for the exam The material, though difficult, didn't have to be taught in such a confusing manner.I passed the 24 on the fist time because of the quality of the practice exams from Solomon. Thank you! Putting it another way...If you are using anyone else to study, you owe it to yourself and your efforts to buy the practice exams from Solomon to get a true judge of your studying efforts.

Will, Bainbridge Island, WA

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

Nikita Brown, BMI. Atlanta, GA