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.
- Industry Code
The Code of Arbitration Procedure for Industry Disputes (Industry Code) governs arbitrations between or among industry parties only.
Additional Guidance for the Current Code of Arbitration
For Cases Filed Prior to April 16, 2007