To Infinity And Beyond: Rule 8210

Law360, New York (March 21, 2011, 1:45 PM EDT) -- Around 10 years ago, when I was the director of the National Association of Securities Dealers' Atlanta District Office, I found myself the subject of a rather uncomplimentary article in a trade publication.

In short, the article complained that I had abused NASD’s powers under Rule 8210 because I had compelled a young registered rep from a New York boiler room (who had made the rather unfortunate decision to cold-call one of my examiners — in the NASD office — and then make any number of...
To view the full article, register now.

UK Financial Services

UK Financial Services

Read Our Latest UK Financial Services Coverage

Financial Services Law360 UK provides breaking news and analysis on the financial sector. Coverage includes UK and European Union policy, enforcement, and litigation involving banks, asset management firms, and other financial services organizations.