SIE practice questionhardSRO Appeals Process
What is the final level of appeal for a member firm disciplined by an SRO?
- AInternal SRO committee
- BThe SEC or federal court system✓ Correct answer
- CFINRA’s Board of Governors
- DThe President of the United States
Explanation
Why B — The SEC or federal court system
After SRO and SEC appeals, further review may be available in the federal court system.
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