Khung pháp lýCâu 378 / 398
FINRA's Code of Procedure (the Rule 8000 and 9000 series) primarily governs:
a.How FINRA investigates and disciplines members for rule violations
b.How customers and firms arbitrate monetary disputes
c.How firms register new associated persons
d.How issuers register securities with the SEC
Giải thích
The Code of Procedure governs FINRA's disciplinary process: how alleged rule violations are investigated, how complaints are brought, hearings held, and sanctions imposed. It is distinct from the Code of Arbitration Procedure, which handles monetary disputes between parties such as customers and firms. Sanctions can include fines, suspensions, and bars from the industry.
Trích dẫn luật: FINRA RulesLuyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A person applying for registration in the securities industry was convicted of a securities-related felony four years ago. This individual is most likely:
- Before a person can be fingerprinted and registered as an associated person, fingerprinting is required primarily to:
- A customer and a member firm have a monetary dispute arising from the customer's account. The customer signed an account agreement containing a predispute arbitration clause. The dispute will most likely be resolved through:
- A registered representative changes her residential address and also is charged with a felony. Which of these events requires an amendment to her Form U4?
- Which of the following best describes the jurisdiction of the Chicago Board Options Exchange (CBOE) as a self-regulatory organization?
- An individual passed the SIE exam but has not yet been hired by a member firm. How long do SIE exam results generally remain valid?
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