The Minimum Requirements for Disciplinary Hearings Include

question 53

Multiple Choice

The minimum requirements for disciplinary hearings include:

• A)a written notice of the alleged rules infraction and sufficient time to prepare a defense.
• B)the ability to call witnesses.
• C)a written statement of the findings.
• D)all of these choices.

---

Definitions:

Debt Securities

Financial instruments that represent a loan made by an investor to a borrower, typically including terms for interest payments and the return of principal at maturity.

Fixed Maturity

A term related to fixed-income investments indicating the set date when the principal amount of the investment is paid back to the investor.

Equity Securities

Financial instruments representing ownership interest in a company, such as stocks, which provide shareholders with claims on assets and earnings.

Notes and Bonds

Financial instruments representing a loan made by an investor to a borrower, typically corporate or governmental, where bonds are longer-term than notes.