Series 82: 4.7.3.2. Acceptance, Waiver, And Consent

Taken from our Series 82 Online Guide

4.7.3.2. Acceptance, Waiver, and Consent

Once the Department of Enforcement or Department of Market Regulation believes a violation has been committed, the representative or member has two choices. The person can either admit to the violation and file a letter of Acceptance, Waiver, and Consent (AWC) before a formal complaint has been issued, or the person can fight the allegation and allow the issuance of a formal complaint. After a formal complaint has been issued, the person can still settle at any time, as described in the previous section.

If the person executes the AWC letter, the person accepts a finding of violation, consents to sanctions, and waiv

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