FINRA's Acceptance, Waiver and Consent Settlement (AWC)-Part 1

FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 1 Posted on Thursday, December 1, 2016 at 12:47 PM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the first of three posts to discuss FINRA Rule 9216. This post will discuss the “acceptance” portion of the rule related to regulatory (disciplinary) settlement agreements.Read the full article