Regulatory Notice 13-06

SEC Approves Amendments to Rule 8210

Published Date:

January 25, 2013

SEC Approves Amendments to Rule 8210

Regulatory Notice
Notice Type Rule Amendment	Suggested Routing Compliance Legal 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.