Guidelines

The violations listed are those most commonly reviewed by Professional Conduct and Hearing Panelists; however, the list is not comprehensive. The guidelines provide a framework for assessing the nature and gravity of a Covered Person’s misconduct and provide information regarding the most frequently imposed sanction for each type of conduct. This document provides guidance only and is not a substitute for the use of good judgment and reliance on training, professional experience, and expertise by Professional Conduct and/or Hearing Panelists. Although these Guidelines offer the most frequently imposed sanction and/or a range of sanctions for conduct, sanctions not identified may be imposed, if circumstances warrant.

Writing/Erasing Past Time Called

Exam Rule

Candidates must not continue to write or erase after the “Stop writing now” directive.

Sanction Number of Sanctions
(2013 - 2016)
Private Reprimands 1,034
One-Year Suspensions 37

Assistance During Exam

Exam Rule

Candidates must neither give nor receive assistance while taking the exam.

Candidates must not look or glance at another candidate's exam materials while taking the exam.

Candidates must not give the appearance of looking or glancing at another candidate's exam materials while taking the exam.

Sanction Number of Sanctions
(2013 - 2016)
One-Year Suspensions 19
Two-Year Suspensions 115
Three-Year Suspensions 4
Five-Year Suspensions 309
Prohibitions 1,145

Failure to Cooperate

Exam Rule

Candidate fails to submit information requested relating to professional conduct and acvtivities.

No instances led to a sanction.