Skip to main content

For updates and guidance related to COVID-19 / Coronavirus, click here.

13506. Discovery Requests

(a) Requests for Documents or information
Parties may request documents or information from any party by serving a written request on the party. Requests for information are generally limited to identification of individuals, entities, and time periods related to the dispute; such requests should be reasonable in number and not require narrative answers or fact finding. Standard interrogatories are generally not permitted in arbitration.
(b) Making Discovery Requests
Discovery requests may be served:
(1) On the claimant, or any respondent named in the initial statement of claim, 45 days or more after the Director serves the statement of claim; and
(2) On any party subsequently added to the arbitration, 45 days or more after the statement of claim is served on that party.
The party must serve copies of the request on all other parties. Any request for documents or information should be specific and relate to the matter in controversy.
Amended by SR-FINRA-2016-029 eff. April 3, 2017.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.

Selected Notice: 07-07, 08-57, 17-03.

No Results Found

No Results Found

No Results Found

No Results Found