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

• Customer and Industry Code Deadlines

For Cases Filed Prior to April 16, 2007

• Code of Arbitration Procedure for Cases Filed Prior to April 16, 2007 (PDF 263 KB)
• NYSE Arbitration Rules for any pending case with the NYSE forum Prior to August 6, 2007 (PDF 127 KB)