SEC Approves Amendments to FINRA Rule 8210 (Provision of Information and Testimony, and Inspection and Copying of Books and Records)

The SEC approved amendments to FINRA Rule 8210. The amendments are intended 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.

Effective Date: February 25, 2013.

Click hereto view regulatory news and text of amended rule (links externally to FINRA website).