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The Financial Advisor's Guide to Regulatory Investigations

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Financial Advisors: If you've received a Rule 8210 letter from FINRA, find out what you should know before responding to the letter.

If you've received an information request letter from FINRA or another regulator, you very well may be experiencing the following:

  1. You're worried and anxious about this process you find yourself in, and worried about your career.
  2. You don't know how to respond to the letter, what to include, what not to include, and don't understand what will happen next.
  3. You're getting conflicting information from colleagues in the business and from your firm about what to do and what will happen, and you don't know where to turn for help.
  4. You may have reached out to some attorneys and may have found that many of them have no experience with financial markets regulatory matters and have never represented someone before FINRA or the SEC.

Attorney Joel Beck has helped bridge the information gap by giving financial advisors a detailed overview of the regulatory examination and enforcement process, as well as highlighting some potential pitfalls that advisors might fall into when responding to these letters or dealing with the regulators. Joel believes that by having a basic understanding of the process and possible results, financial advisors are better able to make better decisions along the way, leading to better outcomes for themselves and their career.

Inside his book, The Financial Advisor's Guide to Regulatory Investigations, you'll find:

  • A detailed discussion of the FINRA exam/investigation process
  • A discussion of Rule 8210 and jurisdictional issues for FINRA
  • 4 points to consider when responding to a Rule 8210 letter
  • An overview of the OTR (on-the-record) interview process
  • A detailed discussion of formal enforcement actions including AWCs, complaints, the offer of settlement, and the call for review
  • A discussion of common sanction types involved in FINRA actions, and how sanctions are determined for each case
  • A discussion of the issue of willfulness in Form U4 cases and the draconian sanction that might result from such finding
  • A warning about other matters to consider beyond the FINRA investigation that might impact a financial advisor's career and reputation.

If you're a financial advisor who has recently received a Rule 8210 letter from FINRA or you're expecting to receive one in the near future due to a Form U5 or other filing, we'll send this book to you, for free. Just complete the form above so we can get it out to you. Requesting a free copy of The Financial Advisor's Guide to Regulatory Investigations does not create an attorney-client relationship. And don't worry, we won't share or sell your information with any third party and we won't disclose to others that you requested this book.

Please note that if you're an attorney, a consultant, a financial advisor not facing a regulatory examination, or someone else just interested in the information in the book, you can obtain a copy of this valuable resource directly from Amazon.

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To discuss your situation and see how we might be of assistance, contact us today.