Rules & Case Resources
On this page, you will find all of the rules, scripts, templates and forms that parties and neutrals will need during the course of an arbitration or a mediation. For more information, please contact your case administrator or your regional office.
Rules & Procedures
- Code of Arbitration Procedure for Customer Disputes
- Code of Arbitration Procedure for Industry Disputes
- Customer and Industry Code Deadlines
- Rule filings
- DRS Notices
- Code of Mediation Procedure
- Special Procedures
- Motions to Dismiss & Eligibility
- Expedited Suspension
Case Resources
- Dispute Resolution Portal (DR Portal)
- Party’s Reference Guide
- Discovery Guide
- Arbitrator's Guide
- Forms & Hearing Scripts
- Disciplinary Referrals
- Investor’s Guide to Securities Industry Disputes
- What to Expect During the Arbitration Process (video)
- What to Expect During the Discovery Process (video)
- What to Expect at a FINRA Arbitration Hearing (video)