Series 24: Settlement Offers

Taken from our Series 24 Online Guide

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 any

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I had tried another learning system before Solomon and walked into the Series 24 unprepared and subsequently failed. After using the Solomon system for three weeks, taking full advantage of the app on my cell phone I walked into my second attempt very prepared for the type of questions I was going to see. Not only did I pass, I did so with confidence. Thanks so much Solomon!

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