--- title: Legal Risk Management Tips | FINRA description: FINRA | Expert tips from the team at Jacko Law Group, PC --- [![jlg-logo.jpg](https://resources.jackolg.com/hs-fs/hubfs/jlg-logo.jpg?width=588&height=85&name=jlg-logo.jpg "jlg-logo.jpg")](http://www.jackolg.com/) Securities & Corporate Counsel San Diego • Los Angeles • San Francisco Call619-298-2880 415-766-3599 - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview.shtml) - [Professionals](http://www.jackolg.com/Professionals/) - [Practice Areas](http://www.jackolg.com/Practice-Areas/) - [Events](http://www.jackolg.com/Events.shtml) - [News Room](http://www.jackolg.com/News-Room.shtml) - [Blog](https://resources.jackolg.com) - [Contact](http://www.jackolg.com/Contact.shtml) - [Home](http://www.jackolg.com/) - [Firm Overview](http://www.jackolg.com/Firm-Overview.shtml) - [Professionals](http://www.jackolg.com/Professionals/) - [Practice Areas](http://www.jackolg.com/Practice-Areas/) - [Events](http://www.jackolg.com/Events.shtml) - 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Certain vulnerabilities can surface, such as diminished capacity and financial exploitation, which require forward thinking and purposeful action. [Read More](https://resources.jackolg.com/news/this-holiday-season-review-your-services-to-vulnerable-adults) 0 Comments [Click here to read/write comments](https://resources.jackolg.com/news/this-holiday-season-review-your-services-to-vulnerable-adults#comments-listing) Topics: [FINRA](https://resources.jackolg.com/news/topic/finra) ## [What To Do If You Receive a FINRA 8210 Letter - Oct. 2017](https://resources.jackolg.com/news/what-to-do-if-you-receive-a-finra-8210-letter) Posted by [David Sobel](https://resources.jackolg.com/news/author/david-sobel) on Oct 30, 2017 5:00:00 AM - [Tweet](https://twitter.com/share) [![](https://resources.jackolg.com/hubfs/Stock%20images/close%20up%20of%20businessman%20hands%20signing%20contract.jpeg)](https://resources.jackolg.com/news/what-to-do-if-you-receive-a-finra-8210-letter) # **Introduction** FINRA Rule 8210 allows FINRA staff and adjudicators the ability to inspect and copy certain books, records and accounts of their member firms and those associated with such member firms.  Generally, Rule 8210 is used as a means through which FINRA obtains information for examining, investigating or proceeding against a member firm and its associated persons.  [Read More](https://resources.jackolg.com/news/what-to-do-if-you-receive-a-finra-8210-letter) 0 Comments [Click here to read/write comments](https://resources.jackolg.com/news/what-to-do-if-you-receive-a-finra-8210-letter#comments-listing) Topics: [FINRA](https://resources.jackolg.com/news/topic/finra) [All posts](https://resources.jackolg.com/news/all) ### Recent Posts ### Posts by Topic - [Investment Advisers (5)](https://resources.jackolg.com/news/tag/investment-advisers) - [Investors (3)](https://resources.jackolg.com/news/tag/investors-2) - [Series LLC (3)](https://resources.jackolg.com/news/tag/series-llc) - [Business law (2)](https://resources.jackolg.com/news/tag/business-law) - [FINRA (2)](https://resources.jackolg.com/news/tag/finra) - [Private Equity (2)](https://resources.jackolg.com/news/tag/private-equity-2) - [Risk Management (2)](https://resources.jackolg.com/news/tag/risk-management) - [SEC (2)](https://resources.jackolg.com/news/tag/sec) - [Anti-Money Laundering (1)](https://resources.jackolg.com/news/tag/anti-money-laundering-2) - [Broker-Dealers (1)](https://resources.jackolg.com/news/tag/broker-dealers) - [Business Succession (1)](https://resources.jackolg.com/news/tag/business-succession) - [Entity formation (1)](https://resources.jackolg.com/news/tag/entity-formation) - [Finders (1)](https://resources.jackolg.com/news/tag/finders) - [Form ADV (1)](https://resources.jackolg.com/news/tag/form-adv) - [Form U5 (1)](https://resources.jackolg.com/news/tag/form-u5) - [Hybrid Model (1)](https://resources.jackolg.com/news/tag/hybrid-model) - [Outsource Counsel (1)](https://resources.jackolg.com/news/tag/outsource-counsel) - [Private Funds (1)](https://resources.jackolg.com/news/tag/private-funds) - [RIA (1)](https://resources.jackolg.com/news/tag/ria) - [Regulation A (1)](https://resources.jackolg.com/news/tag/regulation-a) - [Securities and Exchange Commission (1)](https://resources.jackolg.com/news/tag/securities-and-exchange-commission) - [Senior Investors (1)](https://resources.jackolg.com/news/tag/senior-investors) - [Third Party Services (1)](https://resources.jackolg.com/news/tag/third-party-services) - [cybersecurity (1)](https://resources.jackolg.com/news/tag/cybersecurity) see all © by [Jacko Law Group, PC](http://www.jackolg.com). 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