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Documentation Document Requests

Eversheds Sutherland (US) LLP

Official says to go up SRO's chain if you think 8210 demand goes too far

If you think FINRA examiners are going too far with their document requests under the cover of Rule 8210, you should "escalate" your concerns up the regulator's chain of command, a FINRA official said at the organization's...more

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