FINRA Rule 8210

Rule 8210(a)(2) requires member firms to permit the inspection and copying of the firm’s books and records in connection with any investigation, complaint, examination, or proceeding.

Rule 8210(c) provides that “[n]o member or person shall fail to provide information … or to permit an inspection and copying of books, records, or accounts pursuant to this Rule.”

Failing to respond to a Rule 8210 request in a timely manner, providing a partial but incomplete response, or providing an inaccurate response, is a violation of Rule 8210.