Code of Arbitration Procedure

The Codes of Arbitration Procedure provide rules that govern arbitration in FINRA's dispute resolution forum.

  • Customer Code - The Code of Arbitration Procedure (Customer Code) governs arbitrations between investors and brokers and/or brokerage firms.
  • Industry Code - The Code of Arbitration Procedure for Industry Disputes (Industry Code) governs arbitrations between or among industry parties only.
  • Code of Arbitration Procedure in Spanish

Additional Guidance for the Current Code of Arbitration

For Cases Filed Prior to April 16, 2007