FINRA RULE 8210: A PRIMER ON FINRA INVESTIGATIONS

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FINRA Rule 8210 authorizes FINRA to seek documents, written responses, and testimony from member firms and its employees. FINRA relies on Rule 8210 to conduct investigations and the breadth of Rule 8210 is significant. It permits FINRA to seek all manner of confidential documents including tax returns, bank statements and electronic communications, irrespective of whether an individual deems those documents to be within the scope of her employment. And any failure to comply with a Rule 8210 request is met with a bar from the securities industry and statutory disqualification.

Herskovits PLLC published an e-book which provides an overview of FINRA’s investigatory process. Available at https://www.herskovitslaw.com/files/finra-investigations-rule8210.pdf. The e-book provides guidance on Rule 8210 and FINRA investigations from start-to-finish.

Please see full e-Book below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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