Category: Business and Securities Law

FINRA OTR – Surviving the On the Record Interview with FINRA Regulators

Recommendations for the FINRA OTR (On the Record) Interview

On a Friday afternoon (always Friday!), you open a letter to discover an “invitation” to a local FINRA district office.  FINRA is demanding you to provide on the record testimony in an investigation. The dreaded FINRA OTR.  Take heart, there is a good chance that you are not the subject of the investigation, just a person with knowledge of the facts and circumstances. After informing your supervisor and Chief Compliance Officer, what should you do next? Continue reading “FINRA OTR – Surviving the On the Record Interview with FINRA Regulators”