Tag: 8210

Brokers Compliance Featured Articles

Responding to an 8210 Request

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FINRA Rule 8210
FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the right to inspect and copy the books, records and accounts of member firms, associated(…)

” >FINRA Rule 8210 FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the starting point of virtually every

Brokers

The Wells Notice

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 […]

Brokers Compliance Enforcement Featured Articles Investors

SEC Subpoena, FINRA OTR – What do I do?

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SEC
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.(…)

” >SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are subpoenaed by the SEC, or even just receive a letter or telephone call from the SEC or FINRA that call or subpoena is a serious matter, […]