Model Standards of Conduct

FINRA asks its mediators to adhere to the Model Standards of Conduct for Mediators and to use it as a guide for their conduct in FINRA mediations. These standards, created by the American Bar Association serve as a guide for the conduct of mediators, to inform the mediating parties, and to promote public confidence in mediation as a process for resolving disputes.

To maintain the quality and standards of the FINRA Mediator Roster, FINRA expects its mediators to review and follow the guidelines provided by the Model Standards.

View the Model Standards of Conduct for Mediators.