January 29, 2013
SEC Approves Changes to FINRA Rule on Information & Testimony Requests
The SEC recently approved amendments to FINRA Rule 8210 to:
clarify the scope of FINRA’s authority under Rule 8210 to inspect and copy the books, records and accounts of member firms, associated persons and persons subject to FINRA’s jurisdiction;
specify the method of service for certain unregistered persons under the rule; and
authorize service of requests under the rule on attorneys who are representing firms, associated persons or persons subject to FINRA’s jurisdiction.
The text of the amended rule, including Supplementary Material, is available at the FINRA website. The amendments are effective on February 25, 2013.
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