Regulatory Notice 18-22
FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration
FINRA is requesting comment on proposed amendments to the Discovery Guide’s (Guide) Firm/Associated Persons Document Production List (Firm/ Associated Persons List) to require firms and associated persons, upon request, to produce documents concerning third-party insurance coverage in a customer arbitration proceeding. The proposed amendments would strictly limit the circumstances under which insurance coverage information could be presented to the arbitrators.
The text of the proposed amendments is set forth in Attachment A.
Questions concerning this Notice should be directed to:
- Kenneth L. Andrichik, Senior Vice President and Chief Counsel, Office of Dispute Resolution, at (212) 858-3915; or
- Kristine Vo, Assistant Chief Counsel, Office of Dispute Resolution, at (212) 858-4106.
|Date||Commenter||Format - Size|
|7/26/2018||Banks Law Office, P.C.||PDF - 20.8 KB|
|7/26/2018||David Harrison, Esq.||PDF - 40.4 KB|
|7/27/2018||Mutual Trust||PDF - 54.75 KB|
|7/29/2018||Jim Sigler||PDF - 39.09 KB|
|7/30/2018||St. Bernard Financial Services, Inc.||PDF - 41.07 KB|
|7/30/2018||Bridge Capital Associates, Inc.||PDF - 39.56 KB|
|7/30/2018||The Frankowski Firm, LLC||PDF - 51 KB|
|7/30/2018||Aidikoff, Uhl & Bakhtiari||PDF - 138.41 KB|
|8/3/2018||Lisa Miller||PDF - 43.25 KB|
|8/3/2018||Shralow/ADR., LLC||PDF - 39.67 KB|
|8/9/2018||Whiteman Law||PDF - 52.54 KB|
|8/14/2018||Israels & Neuman PLC||PDF - 60.22 KB|
|8/15/2018||Boliver Law Firm||PDF - 40.51 KB|
|8/15/2018||Kenner Nygaard DeMarea Kendall||PDF - 44.69 KB|
|8/15/2018||Peter C. Rageas||PDF - 35.65 KB|