Arbitrator's Reference Guides

FINRA Dispute Resolution consolidated into a single packet a host of important information and forms that arbitrators need to complete their assignments. The packets contain general information about FINRA, tips for contacting staff in the four regional offices by email, important information about your duties and obligations, managing the discovery process, conducting the initial pre-hearing conference and the hearing, the importance of peer evaluations, and guidance on disciplinary referrals and expungement requests, among other things. Note that each packet contains a "special procedures" section for arbitration conducted in the states of California and Florida. These states have unique laws that govern proceedings conducted or decided within their boundaries.

 

Because the arbitration rules that govern the simplified (paper or small claims) proceeding are different from those that govern the hearing, FINRA designed a special arbitrator packet for each proceeding.

 

Note: View Changes to FINRA's Hearing Scripts - Effective April 28, 2008

 

Simplified Cases Edition

 

View the complete document:

 

 

Go directly to forms located within the complete reference guide (requires web browser with PDF plug-in, may not work with all system configurations):

 


National Edition

 

View the complete document:

 

FINRA Dispute Resolution Arbitrator's Reference Guide National Edition  (PDF 886 KB)

 

Go directly to forms located within the complete reference guide (requires web browser with PDF plug-in):

 



Please feel free to contact the regional office that is administrating the case if you have any questions about these packets or if you need further information.