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Forms and Hearing Scripts

Forms for Parties 

This section houses all of the forms that are typically used during an arbitration or mediation by parties—typically investors with a claim or financial professionals responding to a claim. 

Arbitration Forms

Mediation Forms

Forms for Arbitrators & Mediators

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. Please note that forms designated as “available in the DR Portal” are no longer available as PDF documents and are now interactive documents only accessed in the DR Portal.

Hearing Scripts

Prehearing Conference Forms

Hearing Forms

Other Forms