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29-10-2019
Social Studies

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Disciplinary decisions made by FINRA will be released to the public for all of the following situations EXCEPT: Conference with FINRA regarding compliance issues with the firm. Imposition of a monetary sanction Suspension or revocation of a registered person associated with a member. Barring of a member firm

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31-10-2019

Answer:

Conference with FINRA regarding compliance issues with the firm.

Explanation:

The first option is the only logical answer.

The other options would require some public disclosure, but if there were to be a conference with FINRA regarding compliance issues with the firm there is no need to be disclosed because there is nothing about suspensions, fine impositions, or barring involved.

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