Loyalty Affirmation

As part of the application process to become a FINRA mediator, FINRA requires prospective mediators to sign an affirmation that includes the mediator's agreement to the following:

  • To encourage parties to mediate through FINRA's Mediation Program;
  • To mediate their securities cases through FINRA whenever possible; and
  • To mediate those securities cases through FINRA where the mediator appears on a list of potential mediators provided to parties by FINRA.