Other Exchanges Using FINRA's Forum

FINRA provides dispute resolution services for several exchanges through contracted agreements. By agreement with the Exchange, the Exchange adopts FINRA's rules and subjects non-FINRA Exchange members to FINRA Dispute Resolution's rules and procedures. The Agreements with the Exchanges listed below offer member firms and investors consistency of procedures and the uniformity of a single forum for the resolution of securities-industry related disputes. The term "member firm" may include firms that are not members of FINRA.

 

The programs offered to Exchanges are for administration of the Exchange's member-member, member-customer, and member-employee disputes. Under the contract with the Exchanges listed below, Dispute Resolution, as part of its normal duties as an SRO forum, will respond: To internal audits; to the media and government officials; to complaints and queries from its constituents; and to governmental oversight inspections and audits from the SEC and GAO that relate to its administration of the Exchange's member-member, member-customer, and member-employee disputes. Due to the efforts of Dispute Resolution, the Exchanges listed below do not staff or operate a dispute resolution program.

 

The list of Exchanges whose members are subject to FINRA Dispute Resolution's forum are set forth below. If you did business 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 your election.

  

BATS Exchange
http://www.batstrading.com/home/

 

Boston Stock Exchange (BX)
http://www.nasdaqtrader.com/Trader.aspx?id=Boston_Stock_Exchange

 

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

 

Municipal Securities Rulemaking Board (MSRB) registrants list:
http://ww1.msrb.org/msrb1/pqweb/registrants.asp

 

NASDAQ
http://www.nasdaq.com

 

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

 

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

 

NYSE Arca
http://www.tradearca.com/marketdata/book_info.asp

 

Philadelphia Stock Exchange (PHLX) membership list:
http://www.phlx.com