Regulatory Notice 18-22

FINRA Requests Comment on Proposed Amendments to Its Discovery Guide to Require Production of Insurance Information in Arbitration

Comment Period Expires: September 24, 2018


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.
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments: 
DateCommenterFormat - Size
7/26/2018Banks Law Office, P.C.PDF - 20.8 KB
7/26/2018David Harrison, Esq.PDF - 40.4 KB
7/27/2018Mutual TrustPDF - 54.75 KB
7/29/2018Jim SiglerPDF - 39.09 KB
7/30/2018St. Bernard Financial Services, Inc.PDF - 41.07 KB
7/30/2018Bridge Capital Associates, Inc.PDF - 39.56 KB
7/30/2018The Frankowski Firm, LLCPDF - 51 KB
7/30/2018Aidikoff, Uhl & BakhtiariPDF - 138.41 KB
8/3/2018Lisa MillerPDF - 43.25 KB
8/3/2018Shralow/ADR., LLCPDF - 39.67 KB
8/9/2018Whiteman LawPDF - 52.54 KB
8/14/2018Israels & Neuman PLCPDF - 60.22 KB
8/15/2018Boliver Law FirmPDF - 40.51 KB
8/15/2018Kenner Nygaard DeMarea KendallPDF - 44.69 KB
8/15/2018Peter C. RageasPDF - 35.65 KB