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 | PDF (239 KB)
     
  • Industry Code
    The Code of Arbitration Procedure for Industry Disputes (Industry Code) governs arbitrations between or among industry parties only.
    Online Manual | PDF (243 KB)
     

Additional Guidance for the Current Code of Arbitration

 

Spanish Version of the Customer Code

 

For Cases Filed Prior to April 16, 2007