WebOct 12, 2012 · Two recent FINRA arbitration awards highlight increased focus by FINRA … WebFeb 28, 2024 · FINRA’s discovery rules contain provisions that instruct each party to …
DISCOVERY GUIDE (2013) - FINRA
WebAug 12, 2024 · According to FINRA, the Discovery Guide and Document Production … WebMar 31, 2024 · 3-What happens to Rule 611, also known as the order protection rule, in a sub-penny tick . environment? Rule 611 was approved with Reg NMS and states: "The core of Rule 611 is paragraph (a)(1), which promotes intermarket price protection . of orders by restricting the execution of trades on one venue at prices that are inferior simply refresh dulux
SECURITIES AND EXCHANGE COMMISSION
WebApr 10, 2024 · Similarly, the Financial Industry Regulatory Authority (FINRA) has a “Discovery Guide” which sets out a list of presumptively producible documents for mutual exchange between the parties in all of its consumer cases. Typically, the arbitrator and/or the parties can modify these guidelines but the chosen forum’s rules is an excellent ... WebJun 22, 2009 · FINRA’s By-Laws; • Rule 12506(a) of Customer Code (Document … The discovery process allows the parties to obtain facts and information from other parties to the arbitration in order to support their own case and prepare for the hearing. The Codes of Arbitration Procedure require parties to cooperate with each other to the fullest extent practicable in the voluntary … See more For disputes in which an investor is a party, FINRA provides the Discovery Guide, which contain guidelines to help parties and arbitrators during the discovery process. In the 2013 … See more If the parties cannot agree on their own how to resolve any discovery dispute, then the party who still wants more documents or information may make a motion to compel the reluctant party to produce the requested … See more Any party may object to a discovery request if it asks the party to provide documentation and information that a party believes is, for example, overly burdensome, not relevant to the case, or involves confidential … See more A subpoena is a legal document that compels a person or an entity to show up at the specified date, time and place to testify under oath. It is a useful tool to gather information that is relevant to the case. A subpoena … See more ray\\u0027s nursery johnstown