Code of Arbitration Procedure

The Code of Arbitration Procedure includes rules governing the areas of arbitration and mediation.

 

Code of Arbitration Procedure for Cases Filed Prior to April 16, 2007 (PDF 263 KB)

 

Code of Arbitration Procedure on or After April 16, 2007 (FINRA Manual)

 

 

Comparison Chart of Old and New NASD Arbitration Codes for Customer Disputes (169 pages) (PDF 679 KB)

 

Customer and Industry Code Deadlines

 

View NYSE Arbitration Rules for any pending case with the NYSE forum prior to August 6, 2007

 

Código de Procedimiento Arbitral de FINRA Para Litigios con Clientes (PDF 572 KB)

NOTE: This PDF is not considered the official version of the rules. The official version of the Code of Arbitration Procedure is contained in FINRA's online manual. This document is for informational purposes only. It is an aid created for parties. Always check FINRA's Online Manual for the most current version of Code of Arbitration Procedure. We will endeavor to update the Spanish version of the Code Of Arbitration Procedure on a semi-annual basis.

 

Printing Instructions for FINRA Manual

 

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Print Entire Code of Arbitration Procedure

Click the "View Whole Section" button on the top of the page to view the entire Code. Then click the "Print" button on the top of the page.

 

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