FINRA's Disciplinary Hearing Process


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About This Course

Hear from FINRA Enforcement counsel, defense counsel, and a hearing panelist as they broaden awareness about FINRA's disciplinary hearing process and highlight distinctions between self-driven hearings and administrative law judge hearings.

This CLE course will discuss:

  • The differences between FINRA hearings versus hearings by administrative law judges;
  • The conflicts clearance process for panelists and hearing officers;
  • The full lifecycle of a case from the pre-complaint phase through the post-hearing phase; and
  • The mediation and settlement processes.

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