Proposed Rule Change to Amend the Discovery Guide and to MakeOther Conforming Changes to Rules in the Arbitration Codes

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Discovery Guide, which includes Document Production Lists, and to make conforming changes to Rules 12506 and 12508 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 215.95 KB
Approval OrderPDF - 168.42 KB
Federal Register NoticePDF - 73.72 KB
Extension No. 1PDF - 25.97 KB
Extension No. 2PDF - 27.47 KB
Extension No. 3PDF - 27.22 KB
Amendment No. 1 to Proposed Rule ChangePDF - 134.3 KB
Extension No. 4PDF - 27.25 KB
Extension No. 5PDF - 27.25 KB
Extension No. 6PDF - 27.25 KB