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Regulatory Notice 13-06

SEC Approves Amendments to Rule 8210

Published Date:

SEC Approves Amendments to Rule 8210

Regulatory Notice
Notice Type

Rule Amendment
Suggested Routing

Senior Management
Key Topics

Information and Testimony
Inspection and Copying of Books and Records
Referenced Rules & Notices

FINRA Rule 8210
NTM 99-77

Executive Summary

The SEC approved amendments to FINRA Rule 82101 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.