News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Document Requests

Oberheiden P.C.

What Should You Expect, Do, and NOT Do During a FINRA Investigation?

Oberheiden P.C. on

Financial Industry Regulatory Authority (FINRA) investigations present significant risks for broker-dealers. Not only can FINRA take enforcement action—including the imposition of penalties and barring broker-dealers from the...more

Oberheiden P.C.

I Received a FINRA 8210 Letter: Now What?

Oberheiden P.C. on

When registered brokers, their associates, or other financial advisors receive a FINRA 8210 letter, how they respond can make a big difference in the potential outcome. Ignoring the request for documents, pursuant to FINRA...more

Vedder Price

Regulation Best Interest Update OCIE Risk Alert on Initial Examinations

Vedder Price on

On April 7, 2020, the Securities and Exchange Commission’s (the “SEC” or the “Staff”) Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert1 to provide broker-dealers and their associated persons...more

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

Brooks Pierce

The SEC Does Not Care about Your FINRA Document Request

Brooks Pierce on

If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. The self-regulatory organization is responsible for overseeing your securities business and even for your outside...more

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