Learn more about your duties as an arbitrator:
- Code of Ethics for Commercial Arbitrators
Arbitrators have a duty to learn and comply with these standards of ethical conduct for arbitrators in commercial disputes set forth in the Code of Ethics.
- Arbitrator Disclosure
Arbitrator disclosure is essential to maintaining the integrity of the arbitration process, and arbitrators have a continuing duty to disclose any information that may be relevant to an assigned case.
- Oath of Arbitrator and Arbitrator Disclosure Checklist
Arbitrators must review and execute the Oath and Checklist before making any decision or attending hearings.
- Arbitrator Disqualification Criteria
An arbitrator may be temporarily or permanently disqualified from serving on FINRA's roster if the arbitrator's conduct meets any of FINRA's disqualification criteria.
- Top 10 Ways to Be a Better Arbitrator
Review this compiled list of best practices for arbitrators to conduct fair and efficient arbitration hearings.
- Arbitrator's Briefing Sheet
This document is intended as a brief reminder of the duties and obligations of FINRA arbitrators. It is neither an exhaustive list nor is it a substitute for the Code of Arbitration Procedure.