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Printer-Friendly Last Updated: 8/5/04 Materials to Initiate an Arbitration Claim

The following materials will guide you through the process of filing a claim. Please review each of the items below before filing online or downloading the forms for filing.

1. Uniform Forms Guide (PDF 102 KB)
   This Guide provides instructions on how to file an arbitration claim and contains the forms necessary to begin the process.
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2. Arbitration Procedures (PDF 313 KB)
   This brochure provides an overview of the arbitration process from filing the claim through the arbitration hearing and award.
   
   
3. FINRA Mediation: An Alternate Path to Resolving Securities Disputes
   This brochure contains a general discussion of mediation as an alternative means to resolve disputes and provides a comparison of arbitration and mediation.
   
   
4. Request for Mediation
   Submit this form to indicate an interest in having your case mediated through the FINRA Mediation Program.
   
   
5. Code of Arbitration Procedure
   The "Code" contains the formal rules that govern arbitrations and mediations. This document may be supplemented as necessary.
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6. How to Find an Attorney
   This memo provides information about legal referral services.

FINRA provides dispute resolution services for several exchanges through contracted agreements. By agreement with the Exchange, the Exchange adopts NASD's rules and subjects non-FINRA Exchange members to NASD Dispute Resolution's rules and procedures. 

After reading the materials and completing the appropriate forms, please send your completed forms and the necessary fees to:

FINRA Dispute Resolution
One Liberty Plaza
165 Broadway
27th Floor
New York, NY 10006