Proposed Rule Change to Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8210 to clarify the scope of the rule and to clarify certain issues with regard to service of requests made pursuant to the rule.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 157.45 KB
Federal Register NoticePDF - 60.4 KB
Extension No. 1PDF - 23.68 KB
Response to CommentsPDF - 30.49 KB
Extension No. 2PDF - 23.47 KB
Extension No. 3PDF - 23.68 KB
Amendment No. 1 to Proposed Rule ChangePDF - 41.83 KB
Amendment No. 2 to Proposed Rule ChangePDF - 26.89 KB
Approval OrderPDF - 219.45 KB