SIE Exam Practice Question 728
Question: 728
Which of the following is the FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings? It may affirm, dismiss, modify, or reverse any finding, or remand the case for further proceedings.
Correct Answer: C
Explanation:
The National Adjudicatory Council (NAC) is the FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. It may affirm, dismiss, modify, or reverse any finding, or remand the case for further proceedings.
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