FINRA's Disciplinary Hearing Process

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Rhode Island MCLE
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United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

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All Courses Available iOS/Android Web

About This Course

This CLE course features perspectives from FINRA Enforcement counsel, defense counsel, and a hearing panelist. The course aims to enhance your understanding of FINRA's disciplinary hearing process, focusing on the key differences between self-regulated hearings and those conducted by administrative law judges.

Topics covered will include:

  • The distinctions between FINRA hearings and administrative law judge hearings.
  • The conflicts clearance process for panelists and hearing officers.
  • The complete lifecycle of a case, from the pre-complaint phase through the post-hearing phase.
  • The mediation and settlement processes.
  • Expand your knowledge and gain valuable insights into the procedural nuances and best practices within the FINRA disciplinary framework.
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