Regulatory Notice 13-06

SEC Approves Amendments to Rule 8210
Effective Date: February 25, 2013

Executive Summary

The SEC 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 set forth in Attachment A. The amendments are effective on February 25, 2013.

 

Questions concerning this Notice should be directed to:

  • Alan Lawhead, Vice President and Director, Appellate Group, at  (202) 728-8853; or
  • Matthew E. Vitek, Assistant General Counsel, Office of General Counsel,  at (202) 728-8156.