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| FINRA Dispute Resolution | Mediation | Resources for Parties | Start an Arbitration or Mediation | Arbitration | Resources for Arbitrators and Mediators |
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FINRA Dispute Resolution |
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.
American Stock Exchange (AMEX):
International Securities Exchange (ISE) membership list:
Municipal Securities Rulemaking Board (MSRB) registrants list:
NASDAQ
Philadelphia Stock Exchange (PHLX) membership list: |
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