The Financial Regulatory Authority (FINRA) Rule 8210: Provision of Information and Testimony and Inspection and Copying of Books.
What does this mean? You must be compliant if under investigation of any kind. If a member is asked to provide information in any form or to testify, the member must do so.
For more compliance regulation rules, visit our Archiving Compliance Regulations & Supervision Rules page with all of the financial services regulations.
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* Erado assumes no liability for the accuracy or completeness of this information. Please consult with an attorney for information on specific rules and regulations and how they apply to your business.