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FINRA Archives

What, Exactly, is an Acceptance, Waiver, and Consent (AWC)?

FINRA Acceptance, Waiver ConsentIf you run afoul of FINRA rules and regulations, FINRA has the authority to fine, suspend or bar brokers and firms from the industry. Depending on the violation, when it was discovered, and by whom, you may be faced with two choices:

Protection of Aging Investors and Retail Investors a Continued Theme for SEC in 2018

protecting aging investorsWhen the SEC released its list of exam priorities for 2018, no one was surprised to learn that one of last year's themes concerning the protection of retail investors (and by extension, aging investors) continues into 2018. To quote the recently released document:

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San Diego, CA 92101

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