Hearing Scripts

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.

Initial Prehearing and Prehearing Conference Forms

• Initial Prehearing Conference (IPHC) Script - Single Arbitrator Case
• IPHC Script - 3 Member Panel

Hearing Forms

• Hearing Procedure Script – Single Arbitrator Case
• Hearing Procedure Script – 3 Member Panel
• Hearing Procedure Script - Special Proceeding
• Order on Request for Permanent Injunction
• Attendance List
• 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 DR Portal)
• Simplified Case Checklist
• Promissory Note Case Checklist