Dec 17, 2025

FINRA Rule 8210 Letter: Everything You Need to Know

A FINRA Rule 8210 letter signals that FINRA wants documents, answers, or on-the-record testimony tied to an inquiry involving a member firm or associated person. Even if you are not the target, you must respond. FINRA may share your information with regulators or law enforcement. Ignoring the request can lead to suspension, expulsion, or bar.

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Dec 17, 2025

FINRA Know Your Customer Rule and Investment Suitability—How Does it Apply to You?

FINRA’s Know Your Customer rule (Rule 2090) requires brokers to learn essential facts about customers, including authority and account instructions. That information drives suitability under FINRA Rule 2111, which demands a reasonable basis for recommendations based on your investment profile. Suitability includes reasonable-basis, customer-specific, and quantitative duties, supported by reasonable diligence and material red flags.

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