Finra 8210 Letter

It is important to remember that FINRA 8210 letters are nothing more than demands for documents or other information that are pertinent to a potential or ongoing investigation by FINRA, or the Financial Industry Regulatory Authority, the private entity that has been authorized by Congress to regulate the securities industry.

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It is important to remember that FINRA 8210 letters are nothing more than demands for documents or other information that are pertinent to a potential...