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FINRA Rule 8210

Requires a firm to to provide information orally, in writing, or electronically with respect to any matter involved in the investigation, complaint, examination, or proceeding.

Rule Overview

Jurisdiction: United States

Regulator: FINRA

Topic: Recordkeeping

Overview
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Rule 8210(a)(2) requires member firms to permit the inspection and copying of the member’s books and records with respect to any matter involved in the investigation, complaint, examination, or proceeding.

Rule 8210(c) provides that “[n]o member or person shall fail to provide information … or to permit an inspection and copying of books, records, or accounts pursuant to this Rule.”

Failing to respond to a Rule 8210 request in a timely manner, providing a partial but incomplete response, or providing an inaccurate response is a violation of Rule 8210.

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