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FINRA - Proposed Amendment - Re: Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production of Documents without Subpoenas

FINRA has filed with the SEC a proposed rule change to amend the Customer and Industry Codes of Arbitration Procedure to provide that FINRA arbitrators shall issue orders (instead of issuing subpoenas) for the appearance of witnesses or the production of documents.

View text of rule change here(links externally to FINRA website).

Tags

Regulated Activities
Employee Matters Arbitration / Litigation
Sub-Activity
Arbitration Procedures
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA