Tag: FINRA Enforcement

Brokers Compliance Featured Articles

Responding to an 8210 Request

By Mark J. Astarita, Esq. seclaw.com/glossary/finra-rule-8210/” class=”glossaryLink” data-cmtooltip=”

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


SEC Approves Publication of Disciplinary Proceedings

Approves Removal of Prior Restrictions – Notice to Members 00-36 By Mark J. Astarita, Esq.   NASD Notice to Members 00-36 seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”

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 Approves Rule Change To Permit Publication Of All Final Litigated Decisions Issued By The Office Of Hearing Officers, The National Adjudicatory Council, And The NASD Board Effective Date: […]

Brokers Compliance

NAC Upholds Due Process

NASD Adjudicatory Council Strikes Case Because of Delays Follows SEC Lead in Upholding Rights to Due Process and Fundamental Fairness after 7-year delay in commencing proceedings. By Mark J. Astarita, Esq. Delays by regulators in bringing enforcement actions is a recurring problem for brokers and firms, as well as their […]

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 […]