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Expert Analysis

'No Documents For You?'

Law360, New York ( June 24, 2013, 6:10 PM EDT) -- Previously, if the Financial Industry Regulatory Authority requested documents or information unrelated to the securities business under Rule 8210, broker-dealers or registered representatives may have responded by stating, like the soup stand owner on the TV show, Seinfeld, "No documents for you!" While the ramifications of FINRA's recent amendments to Rule 8210 have not been fully explored yet, that response may no longer be appropriate. FINRA, broker-dealers, registered representatives and associated persons have been grappling with FINRA's newly expanded authority....

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