Series 63 Exam Study Guide 2022 + Test Bank by The Securities Institute of America
Author:The Securities Institute of America [The Securities Institute of America]
Language: eng
Format: epub
ISBN: 9781937841539
Google: dabvzgEACAAJ
Publisher: Securities Institute
Published: 2022-02-02T23:24:58.547014+00:00
Glossary of Exam Terms
A
AAA/Aaa
The highest investment-grade rating for bond issuers awarded by Standard & Poorâs and Moodyâs ratings agencies.
acceptance waiver
and consent (AWAC)
A process used when a respondent does not contest an allegation made by FINRA. The respondent accepts the findings without admitting any wrongdoing and agrees to accept any penalty for the violation.
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