FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives.
Resources for Parties
Overview of Arbitration & Mediation | Arbitration Process | Mediation Process
Resources for Neutrals
Become an Arbitrator | Become a Mediator | Education | Arbitration Process | Mediation Process | Mediator Fees
Rules
Code of Arbitration Procedure | Code of Mediation Procedure | Rule Guidance | Dispute Resolution Rule Filings | Dispute Resolution Notices
What's New
Notice to Parties
Statistics
Update
Public Arbitrator Pilot – Pilot Extended for a Third Year
Rule Filing
Proposal to Amend the Discovery Guide (including Document Production Lists)
Rule Filing
Proposal to Amend the Codes to Permit Arbitrators to Make Referrals During an Arbitration Proceeding
Regulatory Notice
Most Viewed Forms
- Uniform Forms Guide
- Arbitrator Application
- Claimant(s) Submission Agreement
- Arbitrator Information Update Form
- Request for Mediation
See Forms & Tools for a complete list of forms.
More Resources
- About FINRA Dispute Resolution
- Order Printed Publications
- Glossary of Arbitration Terms
- Publicaciones en Español
- Dispute Resolution News Releases
- Investor Complaint Center
- Office of the Whistleblower
- Auction Rate Securities
- Regions Morgan Keegan Bond Funds
Most Viewed
- Arbitration Awards Online
- The Neutral Corner
- Arbitration Online Claim Filing
- Office and Hearing Locations
- Arbitration Case Guidance & Resources
- Dispute Resolution Statistics
- Arbitrator Training
- Discovery Guide
- Arbitration Case Flow
- Materials to Initiate a Claim
- Tour of the Dispute Resolution Process
- Arbitration Procedures
- Need for Arbitrators per Location
