Series 7: 18.4.1.2 Letters Of Acceptance, Waiver, And Consent

Taken from our Series 7 Top-off Online Guide

18.4.1.2 Letters of Acceptance, Waiver, and Consent

If the member firm or associated person admits to the violation, FINRA may propose and request that the respondent execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive the right to a hearing and appeal. Known as a Letter of Acceptance, Waiver, and Consent (AWC), it must

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My oldest son purchased your Solomon audio exam guide to pass his Series 7, and I did the same for the Series 65 exam at his recommendation. Although I am 62 and have been out of college for forty(40) years, I passed my Series 65 exam on my first try. This would NOT have been possible without your excellent study materials. Thank you! for the service you provide to all aspiring test takers where so much is on the line!

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David Hartzell, Cornell Capital Management, New York

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