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  • Rules & Guidance
      1. R&G section 1
        1. FINRA Manual
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      2. R&G section 2
        1. The Rulemaking Process
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        2. Adjudication & Decisions
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      3. R&G section 3
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  • Registration, Exams & CE
      1. Registration section 1
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      2. Registration section 2
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      3. Registration section 3
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      1. For Investors section 1
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      2. For Investors section 2
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      3. For Investors section 3
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  1. FINRA Dispute Resolution Services
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Arbitration & Mediation

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  • Learn About Mediation
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  • How to Find an Attorney
  • Resources for Investors Representing Themselves

Case Guidance & Resources

The following resources help arbitrators find the information they need to conduct cases in a fair and efficient manner.

  • Rule Guidance
  • Discovery Guide
  • Expanded Expungement Guidance
  • Special Proceedings—Simplified Arbitration
  • Hearing Scripts & Forms
  • Arbitrator's Guide
  • Arbitrator Experience Survey
  • Disciplinary Referrals
  • The Neutral Corner
  • Neutral Workshop Audio/Video Files
  • Arbitrator Resource Guide for Virtual Hearings
  • Arbitrator Training Videos for Virtual Hearings 
  • Hearing Video 

 

           

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ARBITRATION & MEDIATION

FINRA operates the largest securities dispute resolution forum in the United States
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General Inquiries

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