Forms & Tools

Forms for Arbitrators

Prehearing Conference Form
- Initial Prehearing Conference (IPHC) Script for Single Arbitrator Cases
- Initial Prehearing Conference (IPHC) Script for Panel Cases
- 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 Scripts
- Attendance List
- Instructions for Use of Portable Digital Recorder
- List of Claimant's Exhibits
- List of Respondent's Exhibits
- Award Information Sheet (for all cases, including expungement of customer dispute information and simplified and promissory note cases decided on the papers; 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