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Mediation Rules

The Code of Mediation Procedure governs how parties mediate disputes through FINRA's Mediation Program. The Mediation Code details:

  • Mediation's Effect on Arbitration Proceedings
    Depending on the agreement of parties, mediation can suspend activity in arbitration until the mediation concludes, or both processes may continue on parallel tracks.
  • Representation in Mediation
    Parties may represent themselves in mediation or be represented by an attorney—or state law may dictate others who can represent a party in mediation.
  • Mediator Selection
    The Director of Mediation or the parties themselves can suggest potential mediators.
  • Mediation Ground Rules
    The rules provide the framework for how a mediation must be conducted.
  • Fees
    Parties pay an administrative fee for mediating through FINRA and are responsible for the mediator's fee, and also for any expenses.

Code of Mediation Procedures in Spanish