The parties may ask for documents on the list which have not been identified for automatic exchange if they believe those documents are also relevant to the claim or defense. Any notes made by the customer concerning the customer's account or any transactions in the account. All contracts or written agreements between the customer and any party named in the arbitration. Any correspondence or agreements concerning the strategy to be used in trading the account. Daily confirmation statements for the customer's account.
Monthly activity statements for the customer's account.
A list, to be prepared by the customer, showing the customer's investment experience. For each type of investment the customer has made, the list must contain the type of investment, the names of the firms the customer has done or is doing business with, the account numbers for accounts at each firm, the dates the accounts were opened and, if applicable, the dates the accounts were closed. Research or marketing materials concerning any trading recommendations made to the customer or concerning any transaction made in the customer's account. Any correspondence or agreements concerning the strategy to be used in trading the customer's account. Daily confirmation statements for the customer's account.