12509. Motions to Compel Discovery

This rule is no longer applicable. NASD Rule 12509 has been superseded by FINRA Rule 12509. Please consult the appropriate FINRA Rule.

The Customer Code will apply to claims filed on or after April 16, 2007. In addition, the list selection provisions of the Customer Code will apply to previously filed claims in which a list of arbitrators must be generated after April 16, 2007; in these cases, however, the claim will continue to be governed by the remaining provisions of the old Code unless all parties agree to proceed under the new Code.

(a) A party may make a motion asking the panel to order another party to produce documents or information if the other party has:
•  Failed to comply with Rule 12506 or 12507; or
•  Objected to the production of documents or information under Rule 12508.
(b) Motions to compel discovery must be made, and will be decided, in accordance with Rule 12503. Such motions must include the disputed document request or list, a copy of any objection thereto, and a description of the efforts of the moving party to resolve the issue before making the motion.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.

Selected Notices: 07-07

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