Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, July 19, 2010

FINRA Files Revised Discovery Guide with SEC

FINRA recently filed with the SEC its proposed new Discovery Guide which includes new Document
Production Lists.  This revision of the Discovery Guide has been a long time in the works and is the product of much discussion among FINRA and practitioners from both claimants' and respondents' sides.  The next step is for the SEC to publish the Guide for public comments.

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