Series 7: 18.4.1.1 Settlement Offers

Taken from our Series 7 Top-off Online Guide

18.4.1.1 Settlement Offers

A respondent who admits to a violation may propose an offer of settlement at any time before or during a hearing. The offer must be in writing and it must contain the following:

• Statement of the statutory or rules provisions alleged to have been violated
• Description of the specific events or practices that constitute the alleged violation
• Consent to the findings of fact and violations as stated in the complaint
• Proposed sanctions, consistent with FINRA guidelines

By submitting an offer of settlement, the respondent waives any right to a hearing, to contest the validity of the order, to

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 18.4.1.1 Settlement Offers, you might also be interested in:

Series 54 - 3.2.5.10. Disclosure Requirements

Series 63 - 3.1.7. Termination of a Securities Registration

Series 24 - Clearing: Trade Comparison and Confirmations

Series 3 - 4.1.8.2.1. Portfolio Margining

Series 6 - 7.5.1.8. Soft-Dollar Arrangements

Series 52 - 5.3.1. Measures of Yield

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

Just passed the Series 7 on the first attempt! Many questions on the FINRA exam forced me to consider scenarios from a different perspective, and the conceptual understanding the Solomon materials and study plan facilitated allowed me to apply my knowledge appropriately. If I need another license in the future, I'll rely on Solomon to help me prepare.

Dave Stakland Cambridge Investment Research Fairfield, IA

Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

Natasha Trilli, Ocean Park. Houston, TX

I found Solomon Exam Prep from a general comment that probably came from someone who works for the company. It went along the lines, "Solomon Exam Prep also has study materials for the 7" (goes to show you that inbound marketing works) I tried the STC program that most firms provide, mine included. Didn't like it, and many people on the forum that went that route mentioned they didn't feel adequately prepared for the real exam. In the STC program you can only take each quiz and practice exam 1 time. Also tried Kaplan's cheap 2 test simulation package but despised the components of the simulation, the mark for review button didn't let me go back to review the test before submitting it, and it took forever to "save" my answers before moving on to the next question. It was just a badly developed program. It wasn't improving my scores nor did it help me to better understand the material. I tried Solomon's out because it was comparable in price to Kaplan's exam simulation program but I hate Kaplan's simulator. solomon's had a larger question bank, and both provided unlimited tests which was my real requirement. Loved Solomon's exam simulator program from the start, and the Finra Concept tests combined with the simulation exams is what really improved my score. Solomon will be the only company I use to prepare for all exams I may have in the future and I highly recommend it. Solomon got a life-long repeat customer all because of a generic comment from a random forum.

Alex

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM