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...

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