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13513. Authority of Panel to Direct Appearances of Associated Persons and Production of Documents Without Subpoenas
This rule is no longer applicable. NASD Rule 13513 has been superseded by FINRA Rule 13513. 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.
The appearance of any employee or associated person of a member of NASD; or
- The production of any documents in the possession or control of such persons or members.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.
Selected Notices: 07-07