Sign up to save your podcasts
Or
Share Before The Show #74 - How to Handle FINRA Rule 8210 Request
Share to email
Share to Facebook
Share to X
Share to email
Share to Facebook
Share to X
Or
Before The Show #74 - How to Handle FINRA Rule 8210 Request
* Use coupon code PODCAST25 for 25% off this webcast *
Webcast URL: https://www.theknowledgegroup.org/webcasts/how-to-handle-finra-rule-8210/
Join us for this Knowledge Group Online CLE FINRA Rule Webinar. Through Financial Industry Regulatory Authority (FINRA) Rule 8210, FINRA staff and adjudicators are given the authority to investigate a member firm’s books, records, and accounts for potential rule violation. Receiving a Rule 8210 request from the FINRA can be a great source of ordeal. Organizing the requested documents and information will need an intricate and thorough planning for seamless compliance. To avoid further damage in the course of the inquiry, it is imperative for companies to have a clear understanding of the subject of the 8210 letter. Counsel should be well-versed of the process involved as it’s critical in reducing the risks of adverse consequences.
In this Webcast a panel of thought leaders, professionals, and practitioners assembled by The Knowledge Group will provide the audience with an in-depth analysis of the fundamentals in handling a FINRA Rule 8210 Request. Speakers will also share best practices to avoid risks and pitfalls.
For anymore information please click on the webcast url at the top of this description.
View all episodes
By The Knowledge Group
5
33 ratings
* Use coupon code PODCAST25 for 25% off this webcast *
Webcast URL: https://www.theknowledgegroup.org/webcasts/how-to-handle-finra-rule-8210/
Join us for this Knowledge Group Online CLE FINRA Rule Webinar. Through Financial Industry Regulatory Authority (FINRA) Rule 8210, FINRA staff and adjudicators are given the authority to investigate a member firm’s books, records, and accounts for potential rule violation. Receiving a Rule 8210 request from the FINRA can be a great source of ordeal. Organizing the requested documents and information will need an intricate and thorough planning for seamless compliance. To avoid further damage in the course of the inquiry, it is imperative for companies to have a clear understanding of the subject of the 8210 letter. Counsel should be well-versed of the process involved as it’s critical in reducing the risks of adverse consequences.
In this Webcast a panel of thought leaders, professionals, and practitioners assembled by The Knowledge Group will provide the audience with an in-depth analysis of the fundamentals in handling a FINRA Rule 8210 Request. Speakers will also share best practices to avoid risks and pitfalls.
For anymore information please click on the webcast url at the top of this description.