Answer:. Censure
Explanation:
The penalty that can be levied against the broker-dealer and its associated persons that are subjected to sanctions for violations of FINRA and SEC rules is the censure.
The censure means that the broker dealers and the associatee person's are disapproved.
The most important invention of Hammurabi was the code of Hammurabi, a collection of laws.
I don't know how you can understand an "ingredient" of a code of law, but in some way this could be a specific law, so here is an example of a law from the code:
If an architect does not do his job well, and a house collapses, killing the son of the owner, the architect's son will be killed too.
I think compel specific actions such as paying damages or issue an junction to prohibit something from being done.