According to FINRA Conduct Rules, a party judged guilty of a rule infraction by the District Business Conduct Committee may then appeal to:
A)the SEC
B)the FINRA Board of Governors
C)the public court system
D)the FINRA Board of Arbitration

Question

Quizplus · Accepted Answer

the FINRA Board of Governors. The first appeal is to the Board of Governors, then to the SEC, and then to the federal courts.

According to FINRA Conduct Rules, a Party Judged Guilty of a Rule