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Resources for Parties

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Printer-Friendly Case-Related Guidance

Discovery Arbitrator Pilot 
FINRA Dispute Resolution offers a voluntary discovery arbitrator pilot to improve the discovery process in arbitration.

FINRA Dispute Resolution Party's Reference Guide
View information and forms for parties 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.

Arbitration Evaluation Form

Once your arbitration case has concluded, please remember to complete an online evaluation of FINRA’s Dispute Resolution services and processes, and the arbitrator(s) assigned to your case. The evaluation takes less than 5 minutes to complete.

Online Arbitration Claim Filing
Any party may submit an arbitration claim, using the online system on a voluntary basis. View more information.

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. Recently, complaints from parties regarding possible abuses of the discovery process in FINRA arbitrations have been on the rise. This trend suggests that some parties believe that noncompliance with the discovery process is a routine and acceptable part of arbitration strategy. It is not.

How to Find an Attorney
This memo provides information about legal referral services.

Arbitration Filing Fee Calculator
Calculate arbitration deposit fees. In order to expedite the filing process for claims, Dispute Resolution provides this fee calculator to help parties determine the filing cost of their claim. Parties should use the calculator to expedite the filing process for claims by avoiding delays in the process due to potential filing fee deficiencies.

Forms
We have provided a Web page to conveniently list all forms in one area of the Site.

Other Exchanges Using FINRA's Forum
View a list of exchanges that FINRA has agreements with for the provision of dispute resolution services.

Subpoenas
Learn about the new subpoena rule and view the new process.

"Top Ten" Standards of Good Practice
View a list of the top ten standards of good practice at arbitration hearings.