Jurisdiction for hearing unresolved complaints against a registered representative is initially handled by FINRA's Department of Enforcement. Decisions made by the Department of Enforcement may be appealed to ?

FINRA’s National Adjudicatory Council (NAC)

Explanation:

Decisions made by the Department of Enforcement may be appealed to FINRA’s National Adjudicatory Council (NAC).

The NAC is the national committee established to recheck or review initial pronouncements or decisions made in FINRA’s Department of Enforcements proceedings.

An individual or firm is given the right to appeal a hearing panel decision to the NAC under FINRA's disciplinary procedures. Sometimes the NAC may initiate a review of a decision on its own.

In the process of appeal, the NAC will evaluate whether the hearing panel's findings are right in legal context or not and in accordance with FINRA's Sanction Guidelines.

During a panel decision is on appeal, the sanction of the former proceeding on an individual or firm is not enforced.

However, an individual or firm can further appeal FINRA's decision to the U.S. Securities and Exchange Commission (SEC) and then to federal court.

dear friend:

  i hope this letter finds you in soaring spirits and vibrant health. as you had expressed the wish to know about culture, traditions, and unity of india in your previous letter, in the following lines i have tried my best to give you glimpses of our culture, traditions, and unity. you will be amazed to know that our culture is the oldest culture in the world and the birth place of hinduism, buddhism, jainism, and sikhism. you won’t find any other culture as varied and multi-colored, multi-lingual as ours. each region has its own unique culture, traditions, language. there are 22 official languages in india.

  basically, india is a spiritual country with orthodox traditions. for example the people of india believe in traditions set by their wise forefathers. arranged marriages, joint-family system, universal brotherhood, vegetarianism, celebrating festivals such as diwali, holi, eid, etc., are the salient features of our culture and traditions.

  another unique aspect about our country is ‘unity in diversity’. in spite of the multi-lingual, multi-religious, multi-traditional, multi-cultural society, people live peacefully together, respecting one another’s views, cultures, traditions, and differences. i am sure you would love to visit india soon, and have a first-hand experience of the multi-colored culture. give regards to uncle and aunt. do visit india with your family and experience our hospitality.

your friend,

the answer is d. amendments.