Series 24: 2.5.2. Sanctions

Taken from our Series 24 Online Guide

2.5.2. Sanctions

FINRA may impose the following sanctions on a member firm or associated person for any violation of federal securities laws, rules, or regulations, or FINRA rules, or for any neglect or refusal to comply with a FINRA order, direction, or decision:

• Censure or fines

• Suspension or expulsion

• Prohibition on associating with other member firms

• Imposition of a temporary cease and desist order

• Any other fitting s

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