Series 82: 4.7.3. Code Of Procedure

Taken from our Series 82 Top-off 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 Heari

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