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- Why RIAs Should Consider Outsourced Chief Compliance Officers
- FINRA Crackdown — Outside Business Activities
- Georgia Advisor Restores Public Record With Termination Expungement
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One of the final stages of a FINRA investigation is an on-the-record interview, or “OTR.” An OTR is similar to a deposition or interrogation that focuses on an investment-related or regulation-related violation.
In this week’s Ask An AdvisorLaw Expert, we’re talking with our Ben Winograd, J.D., about what advisors can expect at this stage of FINRA’s probe, as well as how to avoid potential barring from the industry altogether.
If you’re under investigation and are in need of representation, our team of attorneys at AdvisorLaw can provide expert counsel. Contact us today for a complimentary consultation.
Transcript:
One of the final stages of a FINRA investigation is an on-the-record interview, or “OTR.” An OTR is similar to a deposition or interrogation that focuses on an investment-related or regulation-related violation.
- FINRA Crackdown — Outside Business Activities - September 7, 2023
- Georgia Advisor Restores Public Record With Termination Expungement - September 5, 2023
- Is FINRA’s small firm governor election process truly fair and transparent? - August 29, 2023