New York Securities Fraud Lawyers Blog
Did you receive an 8210 Request from FINRA and do not know what to do? Are you asking yourself, “what is an 8210 Request?” FINRA law firms based in New York, like Malecki Law, can help.
FINRA Rule 8210 provides that, “[f]or the purpose of an investigation, complaint, examination, or proceeding…FINRA staff shall have the right to” require a registered financial professional to provide certain documents and information. This continues for a period of time even after you are no longer in the industry. You always need to keep your address and contact information current with FINRA or face a default bar from the securities industry.
Generally, an 8210 Request is synonymous to a subpoena, as both are documents seeking documents and information from the recipient. Because you are a registered financial professional (i.e., by way of any FINRA Series licensing exams), you are automatically under FINRA’s jurisdiction and can be required to respond to an 8210 Request.