Series 82: Acceptance, Waiver, And Consent

Taken from our Series 82 Top-off Online Guide

Acceptance, Waiver, and Consent

Once the Department of Enforcement or Department of Market Regulation believes a violation has been committed, the representative or member has two choices. The person can either admit to the violation and file a letter of Acceptance, Waiver, and Consent (AWC) before a formal complaint has been issued, or the person can fight the allegation and allow the issuance of a formal complaint. After a formal complaint has been issued, the person can still settle at any time according to the procedure above.

If the person executes the AWC letter, the person accepts a finding of violation, consents to sanctions, and waives

+ Read More

More Series 82 Info

What are people saying?

Create an Account

Since you're reading about Series 82: Acceptance, Waiver, And Consent, you might also be interested in:

Series 6 - 3.6.3. Uniform Gifts to Minors Act (UGMA) and Uniform Transfers to Minors Act (UTMA) Accounts

Series 79 - Contents of a Registration Statement (Section 7)

Series 27 - Rehypothecation: An Illustration

Series 66 - Contributions and Withdrawals

Series 65 - 7.3.11 Alpha

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

Your team did it again. I passed my 63 today, less than two weeks after the 82!!! Your study system is perfect, and your practice questions do an amazing job preparing for the exam. If you're not an investment advisor, feel free to use this testimonial on your website!!!!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

The online exam simulator was essential to helping me pass the Series 82 on my first attempt!! Have always used Kaplan for previous FINRA exams, so didn't know what to expect at first, but I was definitely prepared for this exam! Great job to everyone at Solomon, especially the exam writers !!

Luke Garcia, Capital Group, West Chester, PA

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT