Series 7: 18.4.1.4 Formal Hearings

Taken from our Series 7 Top-off Online Guide

18.4.1.4 Formal Hearings

If the respondent contests a violation or if the regulators deny a settlement offer or waiver, the dispute will devolve to a formal hearing proceeding. The Chief Hearing Officer will appoint a Hearing Panel to conduct the disciplinary proceeding and issue a decision.

Within 21 days after a respondent has answered a complaint, the Hearing Officer may order

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