FINRA Manual: Contents
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13000. CODE OF ARBITRATION PROCEDURE FOR INDUSTRY DISPUTES
PART V PREHEARING PROCEDURES AND DISCOVERY
13513. Authority of Panel to Direct Appearances of Associated Person Witnesses and Production of Documents Without Subpoenas
PART VIII SIMPLIFIED ARBITRATION; DEFAULT PROCEEDINGS; STATUTORY EMPLOYMENT DISCRIMINATION CLAIMS; AND INJUNCTIVE RELIEF
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13507. Responding to Discovery Requests
(a) Unless the parties agree otherwise, within 60 days from the date a discovery request is received, the party receiving the request must either:
• Produce the requested documents or information to all other parties;
• Identify and explain the reason that specific requested documents or information cannot be produced within the required time, and state when the documents will be produced; or
• Object as provided in Rule 13508.
(b) A party must act in good faith when complying with paragraph (a) of this rule. "Good faith" means that a party must use its best efforts to produce all documents required or agreed to be produced. If a document cannot be produced in the required time, a party must establish a reasonable timeframe to produce the document.
(c) If a party redacts any portion of a document prior to production, the redacted pages (or range of pages) shall be labeled "redacted."
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.