Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings FINRA is expanding the giudance it gives to parties involved in the discovery process, this includes arbitrators. The Document production list will also be updated from the 14 current lists to two general lists and 12 specialty lists for specific types of claims. Effective Date: May 16, 2011 For example: Documents the Firm/Associated Persons Shall Produce in All Customer Cases (Items 1: Account record information for... View Full Notice PDF 98 KB » |
0 komentar:
Posting Komentar