Enforcement Responsibilities definition
Enforcement Responsibilities means the conduct of appropriate
Enforcement Responsibilities means the conduct of
Enforcement Responsibilities means the conduct of appropriate proceedings, in accordance with the FINRA Code of Procedure (the Rule 9000 Series) and other applicable FINRA procedural rules, to determine whether violations of pertinent laws, rules or regulations have occurred, and if such violations are deemed to have occurred, the imposition of appropriate sanctions as specified under the FINRA’s Code of Procedure and sanctions guidelines.
Examples of Enforcement Responsibilities in a sentence
Law Enforcement Responsibilities SROs, School Security Guards, School Safety Officers, Guardians, and/or other law enforcement officers who witness a student or students engaging in ▇▇▇▇▇ Acts of Misconduct shall refer the incident to school administrators.
More Definitions of Enforcement Responsibilities
Enforcement Responsibilities means the conduct of appropriate proceedings, in accordance with [the NASD]FINRA’s Code of Procedure (the Rule 9000 Series) and other applicable [NASD]FINRA procedural [rules]Rules, to determine whether violations of pertinent laws, rules or regulations have occurred, and if such violations are deemed to have occurred, the imposition of appropriate sanctions as specified under [the NASD’s]FINRA’s