Hameed Shuja3 min read
Hameed Shuja3 min read
Hameed Shuja4 min read
Rule 8210(a)(2) requires member firms to permit the inspection and copying of the member’s books and records with respect to any matter involved in the 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.
Disciplinary decisions issued January 25 – 31, 2025.
Thomas Hyrkiel4 min read
Disciplinary decisions issued January 18 – 24, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued January 11 – 17, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued January 1 – 10, 2025.
Thomas Hyrkiel4 min read
Disciplinary decisions issued December 21 – 31, 2024.
Thomas Hyrkiel4 min read
Disciplinary decisions issued December 14 – 20, 2024.
Thomas Hyrkiel5 min read
Disciplinary decisions issued December 7 – 13, 2024.
Thomas Hyrkiel2 min read
Disciplinary decisions issued November 30 – December 6, 2024.
Thomas Hyrkiel2 min read