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Printer-Friendly FINRA Bookstore Dispute Resolution Information

Although most business in the securities industry is completed without problems, occasionally disputes and controversies do arise. To assist in the resolution of monetary and business disputes between investors and their securities firms (as well as between member firms), FINRA Dispute Resolution operates the largest dispute resolution forum in the securities industry, featuring full-scale arbitration and mediation programs and publishes the following items.

Arbitration Procedures (31 pages)                                                                                                  $1
see online version
 
This brochure outlines arbitration procedures designed to assist arbitrators, prospective parties, and attorneys; it was prepared by the Securities Industry Conference on Arbitration (SICA) and published by FINRA Dispute Resolution.

Participant's Guides

These workbooks are used to train FINRA Panel Members and are used at the onsite training sessions sponsored by FINRA Dispute Resolution.

 
Panel Member Participant's Guide (42 pages)                                                                       $15

Arbitrator's Manual (62 pages)                                                                                                         $1                             
see online version
 
A guide for arbitrators developed SICA to supplement and explain the Uniform Code of Arbitration.

Code of Arbitration Procedure (79 pages)                                                                                        $1
see online version
 
This booklet contains the official FINRA rules governing arbitration and mediation.

Mediation Rules (12 pages)                                                                                                              $1
see online version
 
Taken from the Code of Arbitration Procedure, Mediation Rules lists the rules governing mediation processes and procedures.

FINRA Mediation: An Alternate Path To Resolving Securities Disputes (21 pages)                           $1
see online version
 
This brochure provides an explanation of the FINRA Mediation Program, fee schedule, and benefits of the mediation process.

The Neutral Corner                                                                                                                         $10 per issue
see online version
 
This newsletter is published four times a year for arbitrators, mediators, and other neutrals. It includes updates on rules affecting dispute resolution and tips on how to be a better arbitrator or mediator.

Securities Arbitration Reform (Ruder Report) (198 pages)                                                                $15

Provides information on the findings of the Arbitration Policy Task Force established by FINRA to review the objectives and performance of the dispute resolution process in the securities industry.

Other Online Dispute Resolution Information                                                                                  Free
see online listing of information for neutrals or information for parties
 
FINRA Dispute Resolution regularly produces publications and other information of interest to members, investors, and other constituents. View a list of these online dispute resolution-related publications.