Ace the SIE Exam 2025 – Unlock Your Finance Future with Essentials!

Question: 1 / 400

Which of the following is NOT a potential sanction under FINRA's Code of Procedure?

An indefinite suspension of the registration of an associated person

A is not a potential sanction under FINRA's Code of Procedure because an indefinite suspension of the registration of an associated person is not listed in the list of penalties under FINRA's code of procedure. The options B, C, and D are all possible sanctions that can be imposed under FINRA's code of procedure. This includes monetary fines, censure, and revocation of license. Therefore, A is the only option that is not a potential sanction under FINRA's code of procedure.

Get further explanation with Examzify DeepDiveBeta

Monetary fines

Censure

Revocation of license

Next Question

Report this question

Subscribe

Get the latest from Examzify

You can unsubscribe at any time. Read our privacy policy