Forms and Hearing Scripts
Forms for Parties
This section houses all of the forms that are typically used during an arbitration or mediation by parties—typically investors with a claim or financial professionals responding to a claim.
Arbitration Forms
- Claimant Submission Agreement
- Respondent Submission Agreement
- Submission Agreement for Investment Adviser Disputes
- Expedited Procedures Stipulation
- Form Requesting Expungement On Behalf of An Unnamed Person
Mediation Forms
- Request for Mediation
- Mediation Submission Agreement
- Small Claims Mediation Submission Agreement
- Mediation Evaluation Survey
Forms and Hearing Scripts for Arbitrators & Mediators
Arbitrators should use the appropriate hearing script as a guide to the proceedings to ensure that all procedures are followed. The links below provide arbitrators with FINRA's hearing scripts and other necessary forms for use with the initial prehearing conference and evidentiary hearing. Please note that forms designated as “available in the DR Portal” are no longer available as PDF documents and are now interactive documents only accessed in the DR Portal.
Hearing Scripts
- Initial Prehearing Conference Script - Single Arbitrator Case
- Initial Prehearing Conference Script - Three Member Panel
- Hearing Procedure Script – Single Arbitrator Case
- Hearing Procedure Script – Three Member Panel
- Hearing Procedure Script – Special Proceeding
Prehearing Conference Forms
- Initial Prehearing Conference Order (available in the DR Portal)
- Prehearing Order (available in the DR Portal)
- Motion to Dismiss Order (available in the DR Portal)
- Postponement Order (available in the DR Portal)
- Order on Request for Permanent Injunction
Hearing Forms
- Attendance List
- List of Claimant's Exhibits
- List of Respondent's Exhibits
- Award Information Sheet (available in the DR Portal)
- Award Information Sheet - Sole Topic is Determination of Expungement of Customer Dispute Information (available in the DR Portal)
- Wireless Internet Access Request Form
- Simplified Case Checklist (available in the DR Portal)
- Promissory Note Case Checklist (available in the DR Portal)
- Arbitrator Experience Survey (available in the DR Portal)