Arbitrator Responsibilities

Learn more about your duties as an arbitrator:

• Code of Ethics for Commercial Arbitrators
  Arbitrators have a duty to learn and comply with these standards of ethical conduct for arbitrators in commercial disputes set forth in the Code of Ethics.
• Arbitrator Disclosure
  Arbitrator disclosure is essential to maintaining the integrity of the arbitration process, and arbitrators have a continuing duty to disclose any information that may be relevant to an assigned case.
• Oath of Arbitrator and Arbitrator Disclosure Checklist
  Arbitrators must review and execute the Oath and Checklist before making any decision or attending hearings.
• Register for FINRA’s DR Portal
  Arbitrators are strongly encouraged to register on the DR Portal.
• Arbitrator Disqualification Criteria
  An arbitrator may be temporarily or permanently disqualified from serving on FINRA's roster if the arbitrator's conduct meets any of FINRA's disqualification criteria.
• Top 10 Ways to Be a Better Arbitrator
  Review this compiled list of best practices for arbitrators to conduct fair and efficient arbitration hearings.
• Arbitrator's Briefing Sheet
  This document is intended as a brief reminder of the duties and obligations of FINRA arbitrators. It is neither an exhaustive list nor is it a substitute for the Code of Arbitration Procedure.