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Last Updated: 4/28/08
General Information & Reference |
FINRA Dispute Resolution Arbitrator's Reference Guide
View information and forms for arbitrators involved in arbitration cases, including general information about FINRA Dispute Resolution and the arbitration process, tips for contacting staff in the five regional offices by email, and important mediation matters.
Subpoenas
Learn about the new subpoena rule and view the new process.
Arbitrator Referral Form for Disciplinary Matters
This form is to be used by arbitrators who want to refer potential disciplinary violations to FINRA Dispute Resolution for investigation.
Oath of Arbitrator
Review the Oath of Arbitrator that must be taken by all FINRA-approved arbitrators. The oath must be executed by FINRA arbitrators for each case on which they serve.
Arbitrator Disclosure Checklist
This checklist provides a reminder to the arbitrators to consider all possible disclosures, but also requires a complete explanation of any possible conflict to the parties.
Arbitrator Disqualification Criteria
This Web page provides specific information about temporary and permanent disqualification for arbitrators.
Notice to Attorneys and Parties Represented by Out-of-State Attorneys
In some jurisdictions, an out-of-state attorney cannot represent a client in arbitration. In these jurisdictions, it is considered the unauthorized practice of law to provide such legal representation without being admitted to the appropriate Bar. View more information.
Discovery Guide For Arbitration Proceedings
Notice to Parties-FINRA'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.
Initial Prehearing Conference Forms
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Arbitrator's Script (PDF 24 KB)
The Arbitrator's Script sets forth the procedures for the Initial Prehearing Conference. In the discretion of the panel, these procedures may be varied to allow all parties a full and fair opportunity to present their respective positions.
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Scheduling Order (PDF 82 KB)
The panel Chairperson has the responsibility to use the Scheduling Order to record the agreements reached during the Initial Prehearing Conference. The Chairperson should submit the Scheduling Order to FINRA Dispute Resolution within 48 hours of the conference by electronic mail or facsimile transmission.
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Order on Request for Direct Communication between Parties and Arbitrators (PDF 16 KB)
Award Information Sheet
The Award Information Sheet is the form arbitrators complete after a hearing on the merits to convey their decision to staff.
Order on Request for Permanent Injunction
The Order on Request for Permanent Injunction is completed by arbitrators to record the arbitrators' decision on a party's request for permanent injunction in intra-industry cases.
Guidelines for Arbitrator Reimbursement
View information on reimbursement for travel, lodging, meal expenses and more for FINRA Arbitrators.
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