By John Tredennick

Poor FINRA: its Rule 8210 letters are correspondence no one wants to get.

Whether triggered by an automated trading surveillance program, a missed disclosure, a whistleblower’s tip, or another source, a Rule 8210 investigation allows the Financial Industry Regulatory Authority to open a sweeping investigation that can encompass a firm’s entire document repository, draining an incredible amount of the firm’s time and resources.

To reduce this threat, legal teams have started proactively searching for potential red flags, investigating suspected misconduct to assess and remediate any risks before they lead to formal FINRA investigations and enforcement actions.

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