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FINRA's amended Rule 8210: "No Documents for You?"

July 1, 2013

Law 360

FINRA's recent amendments to Rule 8210 have begun to stir the pot among broker-dealers and registered representatives regarding its seemingly unlimited authority to request documents and information, and the lack of protections available for firms and individuals to object.
 
In an article recently published in Law360, Sutherland Partners Brian Rubin and Eric Arnold, and Associates Shanyn Gillespie and Cecilia Baute Mavico analyze FINRA Rule 8210 and offer practical guidance to cope with the amendments and their possible implications.
 

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Adam C. Pollet, Associate
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