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Article
Arbitration: Handling FINRA's New Discovery Guide
Compliance Reporter (2011)
  • Barry R. Temkin, Mound Cotton Wollan & Greengrass
  • Kate DiGeronimo, Mound Cotton Wollan & Greengrass
Abstract

On May 16, 2011, the Financial Industry Regulatory Authority (FINRA) implemented its revised Discovery Guide and document production lists to supplement its Code of Arbitration Procedure for Customer Disputes. The new Discovery Guide provides lists of documents that parties and arbitrators are directed to consider presumptively discoverable in disputes between investors and FINRA member firms and their associated persons. The new discovery guide provides two simplified lists of documents, in an effort to streamline the prior discovery guide, which had multiple fragmentary lists depending on the theories alleged in the statement of claim.

Keywords
  • Arbitration,
  • FINRA,
  • Financial Industry Regulatory Authority,
  • Securities,
  • Discovery,
  • Discovery Guide
Disciplines
Publication Date
July 18, 2011
Citation Information
Barry R. Temkin and Kate DiGeronimo. "Arbitration: Handling FINRA's New Discovery Guide" Compliance Reporter Vol. XVIII Iss. 28 (2011)
Available at: http://works.bepress.com/barry_temkin/33/