The Discovery Guide is a helpful reference to help you manage expectations regarding documents the other Party might request. FINRA provides the Discovery Guide for customer cases only. This Guide outlines the documents that 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.
Current Discovery Guide
- Discovery Guide (2013) – For claims filed on or after December 2, 2013