Written Materials for Arbitrator Training

FINRA provides PDF (printable and searchable) versions of all of its arbitrator trainings that are currently offered through FINRA's Learning Management System. The same training materials that arbitrators use are now available to all arbitration participants-parties, parties' representatives, arbitrators who wish to refresh their training, etc. Users may select any of the courses to review the most current versions.

Arbitrators who wish to complete an arbitrator training course for credit and inclusion on their Arbitrator Disclosure Report are encouraged to log into the Learning Management System to complete the course. Registering in the Learning Management System allows FINRA to track an arbitrator's completion of a course.

Basic Arbitrator Training

  • Basic Arbitrator (PDF 1.74 MB)
  • Expungement (PDF 444 KB) - The updated expungement training further emphasizes the extraordinary nature of expungement and the important role of arbitrators in maintaining the integrity of the information in the Central Registration Depository. The training provides additional guidance to arbitrators when conducting expungement hearings, especially in cases involving settlement of a customer dispute. The updated training also reviews expungement requests in intra-industry disputes.

Advanced Arbitrator Training