Series 6 Word Scramble
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Question | Answer |
Conduct Rules | A set of rules established by FINRA regulating the ethics employed by members in the conduct of their business. |
Uniform Practice Code | FINRA policies that establish guidelines for member firms' business dealings in securities with other member firms and customers. |
Code of Procedure (COP) | FINRAs formal procedure for handling trade practice complaints involving violations of the conduct rules. The department of enforcement is the first body to hear and judge complaints. |
Code of Arbitration Procedure | Governs the resolution of disagreements and claims between members, registered res and the public; it addresses monetary claims. |
Central Registration Depository (CRD) | Maintains info on all persons registered with FINRA, including info on customer complaints and disciplinary history. Public customers have access to some of this info via an 800 # or website by FINRA. |
Created by:
ericjrolon
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