Rules

Announcements
Announcements provide recent updates, changes, and notifications about Dispute Resolution rules, proposals, and procedures.
 

Code of Arbitration Procedure
The Codes of Arbitration Procedure contains the rules that govern arbitration.

  • Customer Code: This Code governs arbitrations between investors and industry parties.
  • Industry Code: This Code governs arbitrations between or among industry parties only.

Code of Arbitration Procedure in Spanish

 

Rule Filings
As part of the Securities and Exchange Commission's (SEC) oversight of FINRA, FINRA must seek approval from the SEC to amend existing rules or implement new rules.

 

Regulatory Notices
When the SEC approves a new rule or rule change, FINRA publishes a Regulatory Notice advising constituents of the change and the effective date.

 

Notices to Arbitrators & Parties
FINRA provides additional information on its rules and procedures.