Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings

FINRARN 11-17

April 15, 2011

FINRA published a notice to advise firms of recent amendments to the FINRA Discovery Guide and the Document Production Lists that apply for customer arbitration proceedings. These amendments become effective on May 16, 2011, and apply to all customer cases filed after that date.

Cross References

FINRA Rules 12506, 12508

SEC Release No. 34-64166 (approving amendments)