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FINRA’s Enhanced Power to Demand Your Docs Could Reach Far Into Your Business

February 4, 2013

Sutherland Partner Brian Rubin is quoted in an article by BD Week, which discusses an amendment to a FINRA Rule that will expand the scope of documents the agency can demand in compliance investigations.

The rule change, which affects Rule 8210, will enable FINRA to probe the activities of investment advisors of dually registered firms, warns Rubin.

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