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.

DateTitleFormat - SizeStatus
9/10/2009Text of Proposed Rule ChangePDF - 157.45 KB
10/22/2009Federal Register NoticePDF - 60.4 KB
11/19/2009Extension No. 1PDF - 23.68 KB
12/22/2009Response to CommentsPDF - 30.49 KB
12/22/2009Extension No. 2PDF - 23.47 KB
1/14/2010Extension No. 3PDF - 23.68 KB
12/21/2011Amendment No. 1 to Proposed Rule ChangePDF - 41.83 KB
12/5/2012Amendment No. 2 to Proposed Rule ChangePDF - 26.89 KB
12/13/2012Approval OrderPDF - 219.45 KB