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Code of Arbitration Procedure

The Codes of Arbitration Procedure provide rules that govern arbitration in FINRA's dispute resolution forum.

  • Customer Code - The Code of Arbitration Procedure (Customer Code) governs arbitrations between investors and brokers and/or brokerage firms.
  • Industry Code - The Code of Arbitration Procedure for Industry Disputes (Industry Code) governs arbitrations between or among industry parties only.

Additional Guidance for the Current Code of Arbitration

For Cases Filed Prior to April 16, 2007