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In this interview, partner Brian Rubin said FINRA's proposed enforcement reforms would make investigations more efficient and collaborative by giving firms greater insight into what regulators are examining before formal information requests are issued. The materials on the Eversheds Sutherland website are for general information purposes only and do not constitute legal advice. While reasonable care is taken to ensure accuracy, the materials may not reflect the most current legal developments. Eversheds Sutherland disclaims liability for actions taken based on the materials. Always consult a qualified lawyer for specific legal matters. To view the full disclaimer, see our Terms and Conditions or Disclaimer section in the footer. Corporate Crime Financial Services Disputes and Investigations Financial Services Regulation Internal Investigations Litigation & Dispute Resolution Regulatory Investigations and Enforcement Financial Services Key contacts Brian L. Rubin Partner Washington, DC, United States Latest Insights legal updates Technology Law Shorts - July 2026 legal updates Proposed revisions to the Agricultural Foreign Investment Disclosure Act: an overview legal updates EU adopts its 21st sanctions package against Russia and Belarus legal updates Global payment matters - July 2026 Latest News client news Eversheds Sutherland Advises Johnson Matthey on Acquisition of CORMETECH Inc. media mentions New FINRA Report Aims at Making Enforcement a Little Less Painful client news Eversheds Sutherland Advises Horace Mann on Transactions with Medical Mutual of Ohio client news Advising Johnson Matthey on completion of the sale of its Catalyst Technologies business to Honeywell Latest Events virtual \| September 10, 2026 UAE - Employment law in the Dubai International Financial Centre in-person \| September 10, 2026 Managing AI use in the workplace: what every UK HR team needs to know in-person \| September 17, 2026 Basic foundations of US employment law in-person \| September 23, 2026 2026 BDC Roundtable Tabs Label legal updates July 30, 2026 Technology Law Shorts - July 2026 legal updates July 28, 2026 Proposed revisions to the Agricultural Foreign Investment Disclosure Act: a... legal updates July 27, 2026 EU adopts its 21st sanctions package against Russia and Belarus legal updates July 24, 2026 Global payment matters - July 2026 Legal notices Terms & conditions Privacy notice Cookies Disclaimer LinkedIn Facebook YouTube Contact us Client login Staff login Subscribe About Eversheds Sutherland Purpose and values Responsible business Alumni Insights Client tools Events and training Business topics Careers Sitemap Offices © 2026 Eversheds Sutherland (US) LLP Eversheds Sutherland is the name and brand under which the members of Eversheds Sutherland Limited (Eversheds Sutherland (International) LLP and Eversheds Sutherland (US) LLP) and their respective controlled, managed or affiliated firms and the members of Eversheds Sutherland (Europe) Limited and Eversheds Sutherland (Africa) Limited (each an "Eversheds Sutherland Entity" and together the "Eversheds Sutherland Entities") provide legal or other services to clients around the world. Eversheds Sutherland Entities are constituted and regulated in accordance with relevant local regulatory and legal requirements. The use of the name Eversheds Sutherland, is for description purposes only and does not imply that the member firms or their controlled, managed or affiliated entities are in a partnership or are part of a global entity. The responsibility for the provision of services to the client is defined in the terms of engagement between the instructed firm and the client. For information on Konexo please also see the Legal Notices page of this website ATTORNEY ADVERTISING - Prior results do not guarantee a similar outcome. Unless otherwise indicated, attorneys at Eversheds Sutherland (US) LLP are not certified by the Texas Board of Legal Specialization.

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CFP Board, FINRA Consider Rules Feedback

July 22, 2026

United States

PLANADVISER

FINRA completed an outside review of its enforcement program that produced 24 recommendations, including a five-year statute of limitations for investigations, improved communication and centralization of Rule 8210 information requests, and broader cooperation credit for member firms.

In this interview, partner Brian Rubin said FINRA's proposed enforcement reforms would make investigations more efficient and collaborative by giving firms greater insight into what regulators are examining before formal information requests are issued.

The materials on the Eversheds Sutherland website are for general information purposes only and do not constitute legal advice. While reasonable care is taken to ensure accuracy, the materials may not reflect the most current legal developments. Eversheds Sutherland disclaims liability for actions taken based on the materials. Always consult a qualified lawyer for specific legal matters. To view the full disclaimer, see our Terms and Conditions or Disclaimer section in the footer.

Brian L. Rubin

Partner

Washington, DC, United States

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legal updates
Technology Law Shorts - July 2026
legal updates
Proposed revisions to the Agricultural Foreign Investment Disclosure Act: an overview
legal updates
EU adopts its 21st sanctions package against Russia and Belarus
legal updates
Global payment matters - July 2026

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virtual | September 10, 2026
UAE - Employment law in the Dubai International Financial Centre
in-person | September 10, 2026
Managing AI use in the workplace: what every UK HR team needs to know
in-person | September 17, 2026
Basic foundations of US employment law
in-person | September 23, 2026
2026 BDC Roundtable

Tabs Label

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legal updates

July 30, 2026

Technology Law Shorts - July 2026

legal updates

July 28, 2026

Proposed revisions to the Agricultural Foreign Investment Disclosure Act: a...

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legal updates

July 27, 2026

EU adopts its 21st sanctions package against Russia and Belarus

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legal updates

July 24, 2026

Global payment matters - July 2026

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Eversheds Sutherland is the name and brand under which the members of Eversheds Sutherland Limited (Eversheds Sutherland (International) LLP and Eversheds Sutherland (US) LLP) and their respective controlled, managed or affiliated firms and the members of Eversheds Sutherland (Europe) Limited and Eversheds Sutherland (Africa) Limited (each an "Eversheds Sutherland Entity" and together the "Eversheds Sutherland Entities") provide legal or other services to clients around the world. Eversheds Sutherland Entities are constituted and regulated in accordance with relevant local regulatory and legal requirements. The use of the name Eversheds Sutherland, is for description purposes only and does not imply that the member firms or their controlled, managed or affiliated entities are in a partnership or are part of a global entity. The responsibility for the provision of services to the client is defined in the terms of engagement between the instructed firm and the client. For information on Konexo please also see the Legal Notices page of this website
ATTORNEY ADVERTISING - Prior results do not guarantee a similar outcome.
Unless otherwise indicated, attorneys at Eversheds Sutherland (US) LLP are not certified by the Texas Board of Legal Specialization.

CFP Board, FINRA Consider Rules Feedback

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