Series 14: 1.7.1.2. Letters Of Acceptance, Waiver, And Consent

Taken from our Series 14 Online Guide

1.7.1.2. Letters of Acceptance, Waiver, and Consent

If the member firm or associated person admits to the violation, FINRA may propose and request that the respondent execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive the right to a hearing and appeal. Known as a Letter of Acceptance, Waiver, and Consent (AWC), it must des

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