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Discovery Guide

FINRA provides the Discovery Guide for customer cases only, which outlines documents that the parties should exchange without arbitrator or staff intervention. The Discovery Guide contains two document production lists of presumptively discoverable documents: one for the firm/associate persons to produce and one for the customer to produce.

The Document Production Lists in the Discovery Guide as described in FINRA Rule 12506 do not apply to simplified arbitrations decided on the papers or decided by special proceeding. However, the Discovery Guide does apply to simplified cases in which a customer requests a regular hearing. For more information on simplified arbitrations, please see this webpage