Code of Arbitration Procedure

The Codes of Arbitration Procedure provide rules that govern arbitration in FINRA's dispute resolution forum.

 

  • Customer Code
    The Code of Arbitration Procedure (Customer Code) governs arbitrations between investors and brokers and/or brokerage firms.
    Online Manual
     
  • Industry Code
    The Code of Arbitration Procedure for Industry Disputes (Industry Code) governs arbitrations between or among industry parties only.
    Online Manual

Additional Guidance for the Current Code of Arbitration

 

For Cases Filed Prior to April 16, 2007