SIE practice questionhardSRO Rule Violations
A registered representative who violates an SRO rule and is sanctioned may:
- ASue the SRO for damages
- BAppeal the sanction within the SRO and then to the SEC✓ Correct answer
- CIgnore the sanction
- DHave their criminal record expunged
Explanation
Why B — Appeal the sanction within the SRO and then to the SEC
There are established appeals processes within the SRO and then with the SEC.
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