Special Procedures

Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.

Accelerated Processing for Parties Who Qualify Based on Their Age or Health Condition
Arbitration parties may request accelerated processing pursuant to Rule 12808 for customer disputes or Rule 13808 for industry disputes. If the request qualifies for accelerated processing, certain deadlines provided by the Codes of Arbitration Procedure will be shortened as provided in Rules 12808 and 13808.

Expungement
Brokers may seek to have a reference to allegations or involvement in an arbitration removed from their Central Registration Depository (CRD^®) System records. The process of removing this information from the CRD system is called "expungement."

Short List Option to Reduce Extended List Appointments
In an effort to increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement, rather than accept an extended list appointment.

Disputes Between Investors and Investment Advisers who are not FINRA-Regulated Firms
FINRA will accept disputes between investors and investment advisors who are not FINRA-regulated firms, provided certain conditions are met.

Other Exchanges Using FINRA’s Forum
FINRA will accept disputes between investors and investment advisors who are not FINRA-regulated firms, provided certain conditions are met.