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Official says to go up SRO's chain if you think 8210 demand goes too far

June 3, 2013

BD Week

Sutherland Partner Brian Rubin was quoted in a recent article in BD Week regarding document requests under the recently amended FINRA Rule 8210. Some industry professionals have expressed concern that the rule change could allow FINRA to make overbroad document requests. Brian suggests that firms that believe examiners are going too far with a document request should first raise the issue with the examiner or attorney and, if that is not successful, make their case known to the examiner’s or attorney’s supervisor.

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