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FINRA Series 7

Category - Series 7

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According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business Conduct Committee may then appeal to:

the SEC
the FINRA Board of Governors
the public court system
the FINRA Board of Arbitration

Explanation

Answer: B - the FINRA Board of Governors. The first appeal is to the Board of Governors, then to the SEC, and then to the federal courts.

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FINRA Series 7

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FINRA Series 7

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