FINRA Issues Warning for Firms Outside the U.S.
September 30, 2025 by Melanie Waddell
The Financial Industry Regulatory Authority is reminding broker-dealers and their reps that no matter where they are located — even if outside the U.S. — they are required to provide information and testimony in response to a request from FINRA staff.
In Regulatory Notice 25-11, released on Sept. 25, FINRA states that members as well as associated persons “are required to provide information and testimony in response to a request from FINRA staff” under FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books).
Originally Posted at Think Advisor on Sep 30, 2025 by Melanie Waddell.
Categories: Industry Articles
