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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.
Disciplinary decisions issued August 10 – 16, 2024.
Thomas Hyrkiel4 min read
Disciplinary decisions issued August 3 – 9, 2024.
Thomas Hyrkiel3 min read
Disciplinary decisions issued July 13 – 19, 2024.
Thomas Hyrkiel1 min read
Disciplinary decisions issued July 6 – 12, 2024.
Thomas Hyrkiel4 min read
Disciplinary decisions issued June 29 – July 5, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued June 22 – 28, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued June 15 – 21, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued June 8 – 14, 2024.
Thomas Hyrkiel2 min read