FINRA's Acceptance, Waiver and Consent Settlement (AWC)-Part 3

FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3 Posted on Wednesday, December 7, 2016 at 9:17 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the third of three posts to discuss FINRA Rule 9216. This post will discuss the “consent” portion of the rule related to regulatory (disciplinary) settlement agreements.Read the full article