Arbitration & Mediation Rule Filings

View the Rule Filing Status Report.

Rule Filing Number Sort ascending	Title
SR-FINRA-2020-039	Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: the Office of Dispute Resolution and the Department of Registration and Disclosure
SR-FINRA-2020-035	Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees
SR-FINRA-2020-030	Proposed Amendments to the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests
SR-FINRA-2020-005	Proposed Rule Change to Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes to Apply Minimum Fees to Requests for Expungement of Customer Dispute Information
SR-FINRA-2019-030	Proposed Rule Change to Amend the Membership Application Program (“MAP”) Rules to Address the Issue of Pending Arbitration Claims
SR-FINRA-2019-027	Proposed Rule Change to Amend FINRA Rule 12000 Series to Expand Options Available to Customers if a Firm or Associated Person is or Becomes Inactive
SR-FINRA-2019-004	Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2018-043	Proposed Rule Change to Expand Time for Non-Parties to Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents
SR-FINRA-2018-026	Proposal to Amend FINRA Rules 12214 and 13214 to Provide That FINRA Will Pay Each Arbitrator a $200 Honorarium to Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance
SR-FINRA-2018-019	Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
SR-FINRA-2018-012	Proposed Rule Change to Eliminate the Fee for an Explained Decision
SR-FINRA-2018-003	Proposed Rule Filing Relating to Simplified Arbitration
SR-FINRA-2017-025	Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
SR-FINRA-2017-017	Proposed Rule Change to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
SR-FINRA-2017-009	Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
SR-FINRA-2016-033	Proposed Rule Change Relating to Broadening Chairperson Eligibility in Arbitration
SR-FINRA-2016-030	Proposed Rule Change Relating to Motions to Dismiss in Arbitration
SR-FINRA-2016-029	Proposed Rule Relating to use of the Dispute Resolution Party Portal in Arbitration and Mediation
SR-FINRA-2016-022	Proposed Rule Change Relating to the Panel Selection Process in Customer Cases with Three Arbitrators.
SR-FINRA-2016-015	Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
SR-FINRA-2015-034	Proposed Rule Change to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc.
SR-FINRA-2015-003	Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Cancelling or Postponing a Hearing
SR-FINRA-2014-028	Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
SR-FINRA-2014-026	Proposed Rule Change to Amend the Codes of Arbitration Procedure to Increase Arbitrator Honoraria by Increasing Arbitration Filing Fees, Member Surcharges and Process Fees and Hearing Session Fees
SR-FINRA-2014-020	Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)