Series 22: 6.6.2.2. Acceptance, Waiver, And Consent

Taken from our Series 22 Top-off Online Guide

6.6.2.2. Acceptance, Waiver, and Consent

Before a formal complaint has been issued, FINRA may give the suspected violator an opportunity to admit the violation in a letter of Acceptance, Waiver, and Consent (AWC). In the AWC, the person accepts a

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