To Infinity And Beyond: Rule 8210

Law360 (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 obvious and material misrepresentations) to travel to Atlanta to appear and provide sworn testimony as...

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.

  • Access to case data within articles (numbers, filings, courts, nature of suit, and more.)
  • Access to attached documents such as briefs, petitions, complaints, decisions, motions, etc.
  • Create custom alerts for specific article and case topics and so much more!


Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!