|
|
 |
|
Rules and Procedures |
Following are documents that outline the rules and procedures of FINRA's arbitration and mediation programs.
Code of Arbitration Procedure
The Code of Arbitration Procedure includes FINRA's rules governing the areas of arbitration and mediation.
Mediation Rules
View the rules governing FINRA mediation activities.
Rule Filings and Guidance
View complete FINRA Dispute Resolution rule filings as well as announcements and guidance regarding rule information.
The Federal Arbitration Act
View Chapters 1 & 2 of the Federal Arbitration Act: General Provisions and Convention on the Recognition and Enforcement of Foreign Arbitral Awards. To view or download the entire Act, you may consult the United States Code at http://uscode.house.gov/download/title_09.php.
Discovery Guide for Arbitration Proceedings
Notice to Parties-NASD's Discovery Rules and Procedures
The timely exchange of relevant documents and information between parties to FINRA arbitrations is vital to the efficient, cost-effective resolution of disputes. The purpose of this Notice is to remind all parties--claimants and respondents-- that failure to comply with the FINRA discovery rules and procedures can result in sanctions.
Notices to Members
View dispute resolution-related NASD Notices to Members.
NASD Manual
View publication that includes all the NASD rules, as well as some NASD membership information.
NASD Regulation Selected Hearing Panel Decisions
View selected Office of Hearing Officer Decisions:
|
