Failure to Launch Three FINRA Rule 8210 AWC Settlements (BrokeAndBroker.com Blog)
Bill Singer
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Bill Singer
A critic of the inept and incompetent, and an advocate for economic and political sanity. It's a lonely journey but I walk it. Wall Street legal, regulatory, and compliance veteran since 1982.
https://www.brokeandbroker.com/7107/finra-awc-rule-8210-failure/
Pursuant to its Rule 8210, FINRA has the right to demand information or testimonial appearance. Be that as it may, I take issue with FINRA's somewhat loosey-goosey drafting of AWCs that charge respondents with failing to comply with Rule 8210 demands. At best, my concern is a quibble, and, at worst, a bit of overly punctilious grammar policing. Regardless, an inconsistency among the AWCs caught my eye and I present it to you and FINRA for what it's worth.