« SEC and GE Settle FCPA Charges Involving UN Oil for Food Program | Main | SEC Charges Former Deloitte Partner with Insider Trading in Securities of Audit Clients »
August 3, 2010
FINRA Files with SEC Proposal to Revise the Discovery Guide
The SEC has posted on its website the FINRA proposal to revise the Discovery Guide to expand the guidance FINRA gives to parties and arbitrators on the discovery process and to update the Document Production Lists. The proposal includes conforming changes to Rules 12506 and 12508 of the Customer Code.August 3, 2010 in Other Regulatory Action | Permalink
TrackBack
TrackBack URL for this entry:
http://www.typepad.com/services/trackback/6a00d8341bfae553ef0133f2d41afd970b
Listed below are links to weblogs that reference FINRA Files with SEC Proposal to Revise the Discovery Guide:
