FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives.

Resources for Parties

Overview of Arbitration & Mediation | Arbitration Process | Mediation Process

Resources for Neutrals

Become an Arbitrator | Become a Mediator | Education | Arbitration Process | Mediation Process

Rules

Code of Arbitration Procedure | Code of Mediation Procedure | Rule Guidance | Dispute Resolution Rule Filings | Dispute Resolution Notices

What's New

Auction Rate Securities

NASAA announces special arbitration procedures for auction rate securities cases to be administered by FINRA

Frequently Asked Questions

Procedures for Arbitrators Considering Expungement Requests

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Most Viewed Forms

• Discovery Rules and Procedure
• Arbitrator Application
• Uniform Forms Guide
• Arbitrator Information Update Form
• Claimant(s) Submission Agreement

See Forms & Tools for a complete list of forms.

More Resources

• About FINRA Dispute Resolution
• Order Printed Publications
• Glossary of Arbitration Terms
• Publicaciones en Español
• Dispute Resolution News Releases
• Investor Complaint Center
• Office of the Whistleblower

Most Viewed

• Arbitration Awards Online
• Online Claim Filing
• Arbitration Filing Fee Calculator
• Regional Offices and Hearing Locations
• Dispute Resolution Statistics
• Arbitrator Training
• Arbitration Procedures
• Motion to Dismiss and Eligibility Rules FAQ
• Arbitrator Application Kit
• Arbitration Case Flow