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 6 - 6.2.8.1. Accumulation Phase for a Non-qualified Annuity

Series 14 - 3.1.2.1. Recordkeeping for Customer Accounts

Series 52 - 6.2.4. Tax Swaps and Wash Sales

Series 50 - Form G-37 Quarterly Reports

Series 82 - 2.1.1.7. Regulation S-P

Series 79 - 1.1.7. Reports by Institutional Investment Managers: Form 13F

Series 54 - 1.2.1. Brokers and Dealers

Series 66 - Payout Options (Settlement Options)

Series 66 - Definition of Investment Adviser

Series 24 - Managing Investor Risk

Series 66 - 2.4.9 Yield Spread

Series 3 - 7.4.2.5. Filing Dates for Disclosure Document

Series 65 - Benefits and Risks of Derivatives

Series 24 - General Corporations

Series 24 - Defined Benefit Plans

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!

The series 7 quizzes were what made the study material the best. I just passed the series 7, it was my second time with Solomon. I Passed the SIE first attempt with their study material and it took me until the second attempt to pass the series 7 with their study material. The unlimited practice quizzes was what helped me pass. What an exciting day! I will be using them for the next 63 or 66!

Patrick Deal, Cape Securities. Frisco, TX

I passed the S7 TO first time it was introduced from last year. I have used several books and none of them could be as complete as this one. I am a living witness to the completeness of your course material. If that was not the case, I would not have passed this very difficult exam. I owe my success to your exam materials and no other book, from those I know have come close. I am going to study for the Series 66 through Solomon Exam Prep. If this can help me through, then I am sure many more people would also succeed.

Stalin Miki, Bankerslife, Miami, FL

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

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