Acceptance Waiver and Consent

Definition - What does Acceptance Waiver and Consent mean?

A method used to settle relatively minor violations with FINRA. The maximum penalty is $2,500 and a censure.

Testopedia explains Acceptance Waiver and Consent

Agents and firms who have committed relatively small infractions may elect to accept the findings of FINRA as a true account of the activities in question. By signing this form the agent or firm waves the right to a hearing and to appeal the findings.

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