Hearing Scripts & Forms

Arbitrators should use the appropriate hearing script as a guide to the proceedings to ensure that all procedures are followed. The links below provide arbitrators with FINRA's hearing scripts and other necessary forms for use with the initial prehearing conference and evidentiary hearing.

 

Initial Prehearing Conference Forms

• Arbitrator's Script
• Initial Prehearing Conference Scheduling Order
• Prehearing Conference Order
• Order on Request for Direct Communication between Parties and Arbitrators

 

Hearing Forms

• Hearing Procedure Script – Single Arbitrator Case
• Hearing Procedure Script – Three Member Panel
• Order on Request for Permanent Injunction
• Attendance List
• Witness List
• List of Claimant's Exhibits
• List of Respondent's Exhibits
• Award Information Sheet
• Simplified Case Checklist
• Promissory Note Case Checklist
• Disciplinary Referral Form