Skip to main content

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

13509. Motions to Compel Discovery

This rule is no longer applicable. NASD Rule 13509 has been superseded by FINRA Rule 13509. Please consult the appropriate FINRA Rule.

The Industry Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Industry Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new code.

(a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has:
  • Failed to comply with Rules 13506 or 13507; or

  • Objected to the production of documents or information under Rule 13508.
(b) Motions to compel discovery must be made, and will be decided, in accordance with Rule 13503. Such motions must include the disputed document request, a copy of any objection thereto, and a description of the efforts of the moving party to resolve the issue before making the motion.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.

Selected Notices: 07-07

No Results Found

No Results Found

No Results Found

No Results Found