Forms & Tools

Forms for Arbitrators

Prehearing Conference Form
- Initial Pre-hearing Conference (IPHC) Arbitrator's Script
- Initial Prehearing Conference Order (form available in the DR Portal)
- Prehearing Order (form available in the DR Portal)
Hearing Forms
- Oath of Arbitrator and Disclosure Checklist (form available in the DR Portal)
- Motion to Dismiss Order (form available in the DR Portal)
- Postponement Order (form available in the DR Portal)
- Order on Request for Permanent Injunction
- Hearing Procedure Script - Single Arbitrator Case
- Hearing Procedure Script - 3 Member Panel
- Hearing Procedure Script - Special Proceeding
- Attendance List
- Instructions for Use of Portable Digital Recorder
- List of Claimant's Exhibits
- List of Respondent's Exhibits
- Award Information Sheet (form available in the DR Portal)
- Award Information Sheet - Sole Topic is Determination of Expungement of Customer Dispute Information (form available in the DR Portal)
- Arbitrator Experience Survey (form available in the DR Portal)
- Information for Hearings Not Held at FINRA Dispute Resolution Offices
- Wireless Internet Access Request Form
- Simplified Case Checklist
  
  (for cases that are decided on the papers submitted to a single arbitrator without a live hearing)
- Promissory Note Case Checklist
  
  (for promissory note cases that are decided on the papers submitted to a single arbitrator without a live hearing)