Code of Arbitration Procedure
The Codes of Arbitration Procedure contains the rules that govern arbitration.
- Customer Code: This Code governs arbitrations between investors and industry parties.
- Industry Code: This Code governs arbitrations between or among industry parties only.
As part of the Securities and Exchange Commission's (SEC) oversight of FINRA, FINRA must seek approval from the SEC to amend existing rules or implement new rules.
When the SEC approves a new rule or rule change, FINRA publishes a Regulatory Notice advising constituents of the change and the effective date.
Notices to Arbitrators & Parties
FINRA provides additional information on its rules and procedures.
Filing Comments on Proposed Rule Changes
Arbitrators and mediators may comment on FINRA's proposed rule changes by submitting the comment with the SEC. Such a comment will be posted publicly on the SEC's website. Individuals may submit a comment on a proposed rule change in one of the following ways:
- Use the SEC's internet comment form; or
- Send an email to firstname.lastname@example.org. Please include the file number on the subject line. The format for the file number is SR-FINRA-20XX-XXX.
- Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-1090.