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Resources for Parties

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Printer-Friendly 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 provides information to assist parties and their attorneys. This is a general guide to securities industry arbitration. The rules of each arbitration forum may be different.

Alternative Dispute Resolution Fact Sheet
View an overview of alternative forms of dispute resolution—mediation and arbitration.

Global Settlement
View a notice for investors as well as additional information about the Global Settlement of Conflicts of Interest Between Research and Investment Banking and the future Distribution Funds from the Global Settlement.