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Understanding a FINRA Exam, Part 3- Dispositions

Posted by Joel Beck | Mar 31, 2016 | 0 Comments

In this third installment of our video blog series, attorney Joel Beck discusses the three common ways that a FINRA exam gets resolved, either through the exam being filed without action, resolved through an informal action, or resolved through a formal disciplinary action against the registered representative or associated person.

To learn more about how FINRA examinations start or how the exams are conducted, be sure to view our other videos in this series. The next video in the series will address the basics of an AWC (Letter of Acceptance, Waiver and Consent).

Understand that these posts are designed to answer some basic questions. They are not a substitute for legal advice. If you are the subject of a FINRA investigation, treat it seriously. It can have a significant impact on your career and your reputation. For more information on the exam process, dowload our ebook, A Stockbroker's Guie to Regulatory Investigations, at And if you'd like to speak with an experienced lawyer about your FINRA exam matter, contact us at The Beck Law Firm, LLC at 678-344-5342, or visit us online at

Learn more about FINRA exams in these related articles.

Understanding a FINRA Exam, Part 1

Understanding a FINRA Exam, Part 2

Understanding a FINRA Exam, Part 3 – Dispositions

Understanding a FINRA Exam, Part 4 – AWC

Understanding a FINRA Exam, Part 5 – The Wells Letter

About the Author

Joel Beck

Joel Beck founded The Beck Law Firm, LLC in 2007. His firm focused on business law and estate planning needs of clients, two areas that he was drawn to based upon personal and business experiences in his life, including a ten-year career at NASD (now known as FINRA).


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