Lesson 15 Disciplinary Actions: Disciplinary Actions Any action taken against a FINRA member by the SEC, an exchange, a state regulator, a clearing firm or other regulatory body must be reported to FINRA as soon as possible. Customer complaints of fraud or misrepresentation must also be taken seriously and reported immediately, which means within 10 ... Read more

Series 22 Exam Lesson 15 Disciplinary Actions:

This Podcast is for the training the financial services representative in the preparation to take the FINRA The Series 22 exam.  Often called the Direct Participation Programs Limited Representative Exam, the Series 22 assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative.  The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a direct participation programs representative, including the solicitation, purchase and sale of limited partnerships, among other products.  Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 22 exam to obtain the Direct Participation Programs Representative registration. For more information about the SIE and Series 22 exams.

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This Podcast is for the training the financial services representative in the preparation to take the FINRA The Series 22 exam. Often called the Direct Participation Programs Limited Representative Exam, the Series 22 assesses the competency of an entry-level registered representative to perform their job as a direct participation programs representative. The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of a direct participation programs representative, including the solicitation, purchase and sale of limited partnerships, among other products. Candidates must pass the Securities Industry Essentials (SIE) exam and the Series 22 exam to obtain the Direct Participation Programs Representative registration. For more information about the SIE and Series 22 exams.

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Series 22 Exam Lesson 15 Disciplinary Actions:

Series 22 Exam Lesson 15 Disciplinary Actions: