Regulatory Notice 19-20

SEC Approves Amendments to Arbitration Codes to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents

Effective Date: July 1, 2019

Summary

The Securities and Exchange Commission (SEC) approved amendments to FINRA’s customer and industry arbitration rules to expand time for non-parties to respond to arbitration subpoenas and orders of appearance of witnesses or production of documents. The amendments also make related changes to enhance the discovery process for forum users.

The amendments are effective for cases filed on or after July 1, 2019.

Questions concerning this Notice should be directed to:

  • Leslie Leutwiler, Associate Director, Office of Dispute Resolution, at (212) 858-4136; or
  • Kristine Vo, Principal Counsel, Office of General Counsel, at (212) 858-4106.

Related Documents: 

DateTitleFormat - Size
5/30/2019Attachment APDF - 68.61 KB