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)

Administrative Resources 

• Arbitrator Training
• Virtual Prehearing Conferences and Hearings
• Disqualification Criteria
• Ethics & Responsibilities
• Protecting Personal Confidential Information
• Travel Policy
• Honoraria, Expenses & Tax Information
• Confidentiality Requirements for Suspicious Activity Reports