Common Disciplinary Actions and Sanctions


This course discusses common disciplinary actions and sanctions with a focus on the trends in disciplinary actions. An overview of some of the basic guidelines used to determine sanctions will be included, with information regarding how sanction determinations are made. 

Learning Objectives

Upon completion of this course, you should:

  • be familiar with FINRA Sanction Guidelines;
  • have an understanding of why the FINRA Sanction Guidelines were established and why they are important;
  • be familiar with what FINRA uses as guideposts;
  • know about the latest trends in disciplinary actions as well as the typical sanctions in connection with those actions;
  • be aware of new disciplinary actions being imposed by FINRA;
  • have a solid understanding of the results of violations; and
  • understand some of the mitigating factors that may affect sanctions.

Designed For

The audience is Registered Representatives, Investment Advisers, and Supervisors.

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License or Certification