Series 82: Investigations

Investigations

FINRA staff has the right to require a member firm or associated person to provide information and testify under oath on any matter involving an investigation, complaint, examination, or proceeding. FINRA staff also has the right to inspect and copy on demand the firm’s or person’s books, records, and accounts. No member firm or person shall fail to provide such information or testimony or to open up its books and records to FINR