Other Exchanges Using FINRA's Forum

FINRA provides dispute resolution services for several exchanges that are not able to staff or operate a dispute resolution program. These services include administration of the exchange's member-member, member-investor and member-employer securities-industry related disputes. The term "member" may include brokerage firms that are not members of FINRA.

 

Once FINRA and an exchange enter into an agreement, the exchange adopts FINRA's rules and becomes subject to FINRA Dispute Resolution's rules and procedures. An agreement with an exchange provides brokerage firms and investors with a consistent set of procedures, and offers the uniformity of a single forum for the resolution of securities-industry related disputes. Under an agreement with an exchange, FINRA Dispute Resolution will respond to the following requests as they relate to its administration of an exchange's member-member, member-investor, and member-employee securities-industry related disputes:

  • internal audits;
  • inquiries from media and government officials;
  • complaints and queries from an exchange's constituents; and
  • governmental oversight inspections and audits from the SEC and Government Accountability Office.

The following is a list of exchanges that have entered into an agreement with FINRA to provide its dispute resolution services to the exchange. If you established a securities-related business relationship with a firm that is not a FINRA member, but is a member of one of these exchanges, that firm may be required to arbitrate disputes at FINRA, upon your request.

 

Direct Edge
http://www.directedge.com/

 

International Securities Exchange (ISE) membership list:
http://www.ise.com/WebForm/options_membership_iseMembers.aspx 

 

Municipal Securities Rulemaking Board (MSRB) registrants list:
http://www.msrb.org/msrb1/pqweb/registrants.asp

 

NASDAQ
http://www.nasdaq.com

 

NASDAQ OMX (Includes the former Boston Stock Exchange and Philadelphia Stock Exchange)
http://www.nasdaqtrader.com/homepage.aspx

 

New York Stock Exchange
http://www.nyse.com/

 

NYSE Amex
http://www.nyse.com/equities/nysealternextus/1218155408912.html

 

NYSE Arca
http://www.nyse.com/equities/nysearcaequities/1156241406908.html