Proposed FINRA Rule Change to Amend the Discovery Guide Used in Customer Cases to Provide Guidance on Electronic Discovery, Product Cases and Affirmations – South Florida FINRA Arbitration Attorney

Russell L. Forkey

Proposed Rule Change to Amend the Discovery Guide Used in Customer Arbitration Proceedings to Provide Guidance on Electronic Discovery Issues and Product Cases and to Clarify the Existing Provision Relating to Affirmations:

Financial Industry Regulatory Authority, Inc. (“FINRA”) has recently filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Discovery Guide (“Guide”) used in customer arbitration proceedings to provide general guidance on electronic discovery (“e-discovery”) issues and product cases and to clarify the existing provision relating to affirmations made when a party does not produce documents specified in the Guide. The proposed rule change fulfills FINRA’s commitment to review the topics of e-discovery and product cases with the Discovery Task Force (“Task Force”) that FINRA established in 2011.

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