Legal News Archives - Page 4 of 133 - Pardalis and Nohavicka Attorneys

Protected: FINRA Investigations: What To Do If You Receive a FINRA 8210 Request

For a licensed financial broker, the significance of receiving a Rule 8210 request from the Financial Regulatory Authority’s (FINRA) Department of Enforcement cannot be overstated.  FINRA is a non-governmental organization that regulates brokerage firms (broker-dealers) and their registered representative employees (financial brokers) trading in equities, corporate bonds, securities futures, and options.  A
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