The document is a Discovery Guide and Document Production Lists supplementing the NASD Code of Arbitration Procedure for Customer Disputes. It outlines the rules and guidelines for document production in arbitration cases involving customer disputes. The guide emphasizes flexibility for arbitrators and parties, confidentiality considerations, and the non-presumption of admissibility of documents produced in discovery. It includes detailed lists of documents to be produced by firms/Associated Persons and customers in various types of cases, such as churning, failure to supervise, misrepresentation/omission, negligence/breach of fiduciary duty, unauthorized trading, and unsuitability.
documents/EFTA00725594.pdf
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