Regulatory Alerts2025-09-25 | Regulatory Notice 25-11Added · Updated
FINRA Reminds Members and Associated Persons, Wherever Located, of Their Obligation to Comply With Rule 8210
FINRA Rule 8210 requires members, associated persons, and other persons subject to its jurisdiction to provide information and testimony in response to staff requests, regardless of their physical location or conflicting foreign laws. This obligation includes producing books, records, and accounts in their possession, custody, or control, as well as appearing for testimony at a location specified by FINRA staff. Members must ensure their supervisory systems are designed to achieve compliance with these requirements, as failure to respond truthfully or completely may result in expulsion from membership or a bar from associating with a member firm.
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