Series 3: 7.6.1. NFA Disciplinary Procedures

Taken from our Series 3 Online Guide

7.6.1. NFA Disciplinary Procedures

The CEA requires the NFA and other SROs to establish fair and orderly procedures for disciplining their members and associated persons. These procedures must bring specific charges against the accused, provide the accused with adequate notification and an opportunity to rebut the charges, and keep a record of the proceedings. The decision must specify the act or practice committed (or omitted), the specific rule that has been violated, and the penalty.

In disciplining its members,

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