Conducting a FINRA Arbitration: The Arbitrator's Perspective | Practical Law

Conducting a FINRA Arbitration: The Arbitrator's Perspective | Practical Law

A Practice Note explaining how the arbitrator conducts an arbitration proceeding under the rules of the Financial Industry Regulatory Authority (FINRA). This Note describes the conduct of a FINRA arbitration from the perspective of a solo arbitrator or member of a three-person panel and explains the procedural decisions the arbitrator makes before, during, and at the end of the hearing to help ensure an efficient arbitration proceeding.

Conducting a FINRA Arbitration: The Arbitrator's Perspective

Practical Law Practice Note w-008-4390 (Approx. 22 pages)

Conducting a FINRA Arbitration: The Arbitrator's Perspective

by Practical Law Arbitration
MaintainedUSA (National/Federal)
A Practice Note explaining how the arbitrator conducts an arbitration proceeding under the rules of the Financial Industry Regulatory Authority (FINRA). This Note describes the conduct of a FINRA arbitration from the perspective of a solo arbitrator or member of a three-person panel and explains the procedural decisions the arbitrator makes before, during, and at the end of the hearing to help ensure an efficient arbitration proceeding.