Special Procedures

Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.

Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.

Expungement
Brokers may seek to have a reference to allegations or involvement in an arbitration removed from their Central Registration Depository (CRD^®) System records. The process of removing this information from the CRD system is called "expungement."

Short List Option to Reduce Extended List Appointments
In an effort to increase the parties' input into selecting replacement arbitrators, FINRA allows parties to agree to review a "short list" of potential arbitrators to find a replacement, rather than accept an extended list appointment.

Disputes Between Investors and Investment Advisers who are not FINRA-Regulated Firms
FINRA will accept disputes between investors and investment advisors who are not FINRA-regulated firms, provided certain conditions are met.

Other Exchanges Using FINRA’s Forum
FINRA will accept disputes between investors and investment advisors who are not FINRA-regulated firms, provided certain conditions are met.