Tag: 8210

Brokers Compliance Enforcement Featured Articles Investors

SEC Subpoena, FINRA OTR – What do I do?

The SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are served with an SEC Subpoena, or just receive a letter or telephone call from the SEC or FINRA 8210 Request, that call or subpoena is a […]

Brokers Compliance Featured Articles

Responding to a FINRA Rule 8210 Request

By Mark J. Astarita, Esq. seclaw.com/glossary/finra-rule-8210/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA Rule 8210 FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the starting point of virtually every FINRA Wells Notice and enforcement proceeding, as it gives FINRA the authority to request documents and testimony from firms, registered persons […]

Brokers

The Wells Notice and Wells Submission

Receiving a subpoena from the SEC, or an 8210 Request from FINRA can be the start of a long investigative process while can ultimately lead to a Wells Notice, and an enforcement proceeding. How you handle that process can dictate the end result, and you need to retain competent securities […]

Brokers Compliance

FINRA Enforcement

According to FINRA’s public statements, one of its top priorities is enforcement of its rules, as well as the federal securities laws. FINRA investigates activity which is believes may indicate a securities law violation, and files disciplinary proceedings against firms and their associated persons to address such violations. A FINRA […]