FINRA - Arbitration & Mediation - Arbitrator's Manual - Web Resources

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Resources for Arbitrators and Mediators

General Information and Reference

Arbitrator's Manual

The Changing Role of Arbitration in Securities Controversies

The Challenge for a Self-Regulatory Organization Arbitrator

Duty to Disclose Conflicts

The Appearance of Bias

Ethical Responsibilities

Challenges to an Arbitrator

The Party Who is Not Represented by Counsel

Representation by Counsel

Prehearing Motions

Prehearing Conference

Arbitrators' Power to Issue Orders

Before the Hearing

At the Hearing

Function of the Arbitration Staff

Executive Sessions

Hints for the Chair

Admissibility of Evidence

Attendance of Witnesses at the Hearing

Deliberations

The Arbitrators' Award

Post-Award Procedure

Confidentiality of Arbitration Proceedings

Disciplinary Referrals

Reference Books and Periodicals

Web Resources

Appendix A

Entire Document

Manual del Arbitro

The Neutral Corner

Case Related Information and Forms

Arbitrator Recruitment

Arbitrator Training

Education & Guidance

Rules

Other Information

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FINRA Dispute Resolution

New York Stock Exchange, Inc.

North American Securities Administrators Association

Public Investors Arbitration Bar Association

Securities Industry Association

U.S. Securities and Exchange Commission Office of Investor Education and Assistance