Publications

FINRA Dispute Resolution maintains a number of publications that provide guidance on the arbitration and mediation process. Most of these publications are available online, and may be accessed and printed for free. If you have trouble accessing any of these documents, please contact (202) 728-6959 for assistance.

 

• Investor’s Guide to Securities Industry Disputes
  The Pace Law School Investor Rights Clinic publishes this booklet in conjunction with the FINRA Investor Education Foundation. (35 pages)
   
• Code of Arbitration Procedure for Customer Disputes
  This Code contains the official FINRA rules governing arbitrations involving customer disputes. (66 pages)
   
• Code of Arbitration Procedure for Industry Disputes
  This Code contains the official FINRA rules governing arbitrations involving intra-industry disputes. (71 pages)
   
• Code of Mediation Procedure
  This Code contains the official FINRA rules governing mediations. (7 pages)
   
• The Neutral Corner
  This newsletter is published four times a year for arbitrators, mediators, and other neutrals. It includes updates on rules affecting dispute resolution and tips on how to be a better arbitrator or mediator.

 

FINRA provides the following publication in hard copy only. To order, complete the order form (PDF 32 KB) or contact FINRA MediaSource at (240) 386-4200.

 

• The Arbitration Policy Task Force Report — A Report Card (Ruder Report) – $20
  The “Report Card” summarizes Dispute Resolution’s response to the findings of the Arbitration Policy Task Force’s review of the dispute resolution process in the securities industry. (28 pages)