Voluntary Meet and Confer Program | FINRA.org

Voluntary Meet and Confer Program

The voluntary Meet and Confer Program is designed to enhance the efficiency of the discovery process in customer-initiated arbitration cases. The program requires parties in eligible cases to address discovery-related issues before the Initial Prehearing Conference (IPHC).

Member firms may elect to participate in the Meet and Confer Program and agree to be subject to the program’s requirements in every eligible customer-initiated case filed against them. Cases are eligible for the Meet and Confer Program if the following conditions are met:

  • All respondents are participating member firms.
  • All customers are represented by counsel.
  • The case will proceed with a:
    • Regular hearing; or
    • Special Proceeding, if the customer requests that the Document Production Lists in the Discovery Guide apply to all parties.
  • The case is not subject to accelerated processing.

If all customers agree to participate, the case will be enrolled in the program and the parties will be subject to the program’s requirements.

Alternatively, at any time before the IPHC, if all parties in a case agree in writing to participate in the program, the agreement will be honored.

Program Requirements

The program’s requirements are as follows:

A.    At least 5 business days before the IPHC, the parties shall hold a meet and confer via telephone or videoconference, unless the parties agree otherwise. At the meet and confer the parties shall address:
(1)    Whether the case is a product case.

(2)    Form of production, including electronically stored information (ESI) and other document formats.

(a)    For ESI, the parties shall begin discussion of search terms and identification of custodians, as applicable; and, 
(b)    For documents produced from electronic discovery platforms, the parties shall discuss the content and filetype for load files accompanying the production.

(3)    Confidentiality agreements (if applicable).

(a)    Any party who desires a confidentiality agreement shall send a draft of a proposed confidentiality agreement to the opposing party at least 5 business days in advance of the meet and confer.

(4)    Case management schedule. For example:

(a)    Estimated length of evidentiary hearings and potential hearing dates; 
(b)    Establishing a discovery schedule; 
(c)    Any anticipated motions and prehearing conferences; and 
(d)    Prehearing brief and motion deadlines.
B.    Any disputes arising out of these discussions relating to A(1) through A(4) may be raised with the arbitrator(s) orally at the IPHC. Parties are not permitted to file written submissions prior to the IPHC regarding any disputes relating to A(1) through A(4).