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Required Basic Arbitrator Training Program

After FINRA approves an arbitrator candidate's application, the candidate must complete the comprehensive Basic Arbitrator Training Program to become eligible to serve on arbitration cases. The Basic Arbitrator Training Program covers each stage of the arbitration process and reviews the procedures that arbitrators must follow to successfully complete an arbitration case. The final module of the program covers the expungement process, which includes a separate, required assessment. Individuals who are interested in applying to the arbitrator roster should wait until they are approved to the roster before taking the arbitrator training and assessments. This program is a self-paced program and must be completed within 90 days:

1. Basic Arbitrator Training (Modules 1–15: 6 hours)

2. Expungement Training (Module 16: 1 hour)

After completing the mandatory online trainings and assessments, new arbitrators may attend a voluntary orientation. Orientations are via webinar and give new arbitrators a chance to meet FINRA staff and ask questions about serving on the roster. If you are interested, please review the schedule and register for an orientation session. Arbitrators can submit questions in advance to the following mailbox.

Arbitrator candidates who are approved to join the roster, and who successfully pass the Basic Arbitrator Training Program, become eligible to serve on cases. Please contact Avery Maixner at (213) 613-2673 or the department of Neutral Management at (855) 209-1620 with any questions about the training program.

Arbitrators who wish to retake the online Expungement course only may request a dedicated hyperlink by sending an email to Arbitrator Training. Staff will contact you directly.