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Last Updated: 6/23/08
Education & Guidance |
Tour of the Dispute Resolution Process
The Tour
provides information about the process of dispute resolution, from filing a claim to the final decision and award.
Arbitration Procedures
This publication is a general guide to securities industry arbitration, and the rules of each arbitration forum may be different.
Arbitrator's Briefing Sheet
Review a document intended as a brief reminder of the duties and obligations of FINRA arbitrators.
Arbitrator's Manual
The Arbitrator's Manual-published by the Securities Industry Conference on Arbitration (SICA)-serves as a guide of procedures and policies for arbitrators.
"Top Ten" Ways to Be a Better Arbitrator
View a list of the top ten ways to be a better arbitrator.
Hearing Procedures Scripts
The hearing procedures set forth below may, in the discretion of the arbitrators, be varied provided all parties are allowed a full and fair opportunity to present their respective cases. The FINRA Dispute Resolution staff member, if present, or the Chairperson, will initiate the introduction.
Notices to Members
View dispute resolution-related Notices to Members.
The Neutral Corner
The Neutral Corner—published by the FINRA Office of Dispute Resolution—provides up-to-date industry information to FINRA neutrals (arbitrators and mediators). It is published six times a year.
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