FINRA Code of Arbitration Procedure

E130442

arbitration code self-regulatory organization rule set of procedural rules

The FINRA Code of Arbitration Procedure is a set of rules established by the Financial Industry Regulatory Authority that governs how disputes between investors, brokers, and brokerage firms are resolved through arbitration.

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All labels observed (7)

Label	Occurrences
FINRA rules	2
FINRA Arbitration Code	1
FINRA Code of Arbitration Procedure canonical	1
FINRA Code of Arbitration Procedure for Customer Disputes	1
FINRA Code of Arbitration Procedure for Industry Disputes	1
FINRA Code of Mediation Procedure	1
FINRA Rulebook	1

How this entity was disambiguated

This entity first appeared as the object of triple T1140834 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.

NED1 Entity disambiguation (via context triple) gpt-5-mini-2025-08-07

Target entity: FINRA Code of Arbitration Procedure
Context triple: [FINRA Arbitration Forum, governedBy, FINRA Code of Arbitration Procedure]

A. FINRA Arbitration Forum
The FINRA Arbitration Forum is a dispute resolution venue where investors and financial firms resolve securities-related conflicts through arbitration and mediation overseen by the Financial Industry Regulatory Authority.
B. FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
C. FINRA Technology Department
The FINRA Technology Department is the internal technology organization of the Financial Industry Regulatory Authority responsible for developing, operating, and supporting its regulatory and compliance systems and infrastructure.
D. Regulation NMS
Regulation NMS is a set of U.S. Securities and Exchange Commission rules designed to modernize and strengthen the national market system for equity trading, emphasizing fair access, price transparency, and best execution across exchanges.
E. Division of Trading and Markets of the SEC
The Division of Trading and Markets of the SEC is the unit responsible for overseeing and regulating U.S. securities markets, broker-dealers, and key market infrastructure to ensure fair, orderly, and efficient trading.
F. None of above. chosen
G. Unsure - the case is ambiguous/there is not enough information to decide.

NED2 Entity disambiguation (via description) gpt-5-mini-2025-08-07

Target entity: FINRA Code of Arbitration Procedure
Target entity description: The FINRA Code of Arbitration Procedure is a set of rules established by the Financial Industry Regulatory Authority that governs how disputes between investors, brokers, and brokerage firms are resolved through arbitration.

A. FINRA Arbitration Forum
The FINRA Arbitration Forum is a dispute resolution venue where investors and financial firms resolve securities-related conflicts through arbitration and mediation overseen by the Financial Industry Regulatory Authority.
B. FINRA
FINRA is a U.S. self-regulatory organization that oversees brokerage firms and exchange markets to protect investors and maintain market integrity.
C. FINRA Technology Department
The FINRA Technology Department is the internal technology organization of the Financial Industry Regulatory Authority responsible for developing, operating, and supporting its regulatory and compliance systems and infrastructure.
D. Regulation NMS
Regulation NMS is a set of U.S. Securities and Exchange Commission rules designed to modernize and strengthen the national market system for equity trading, emphasizing fair access, price transparency, and best execution across exchanges.
E. Division of Trading and Markets of the SEC
The Division of Trading and Markets of the SEC is the unit responsible for overseeing and regulating U.S. securities markets, broker-dealers, and key market infrastructure to ensure fair, orderly, and efficient trading.
F. None of above. chosen

Statements (50)

Predicate	Object
instanceOf	arbitration code ⓘ arbitration code ⓘ arbitration code ⓘ self-regulatory organization rule ⓘ set of procedural rules ⓘ
administeredBy	FINRA Dispute Resolution Services ⓘ linked to: FINRA Arbitration Forum
alternativeTo	court litigation ⓘ
appliesTo	associated persons of FINRA member firms ⓘ customers of FINRA member firms ⓘ disputes between broker-dealers ⓘ disputes between broker-dealers and associated persons ⓘ disputes between investors and associated persons ⓘ disputes between investors and broker-dealers ⓘ member firms of FINRA ⓘ
bindingOn	FINRA member firms ⓘ linked to: FINRA associated persons ⓘ customers who sign arbitration agreements ⓘ
disputeResolutionMethod	binding arbitration ⓘ
enforcedBy	FINRA ⓘ
filedWith	U.S. Securities and Exchange Commission ⓘ linked to: Securities and Exchange Commission
governingBody	Financial Industry Regulatory Authority ⓘ
governs	class action restrictions ⓘ consolidation and joinder of claims ⓘ discovery in arbitration ⓘ emergency relief procedures ⓘ evidentiary rules in arbitration ⓘ expungement of customer dispute information ⓘ fees and costs in arbitration ⓘ hearing procedures ⓘ initiation of arbitration claims ⓘ issuance of arbitration awards ⓘ mediation referrals ⓘ motion practice in arbitration ⓘ pre-hearing procedures ⓘ sanctions for discovery abuse ⓘ selection of arbitrators ⓘ service of pleadings and papers ⓘ subpoenas and orders to produce documents ⓘ time limits for filing claims ⓘ
hasPart	FINRA Code of Arbitration Procedure for Customer Disputes ⓘ linked to: FINRA Code of Arbitration Procedure FINRA Code of Arbitration Procedure for Industry Disputes ⓘ linked to: FINRA Code of Arbitration Procedure
jurisdiction	United States ⓘ linked to: United States of America
legalBasis	Securities Exchange Act of 1934 ⓘ linked to: U.S. Securities Exchange Act of 1934
publicationForm	FINRA Rulebook ⓘ linked to: FINRA Code of Arbitration Procedure
requiresApprovalBy	U.S. Securities and Exchange Commission ⓘ linked to: Securities and Exchange Commission
shortName	FINRA Arbitration Code ⓘ linked to: FINRA Code of Arbitration Procedure
subjectArea	brokerage account disputes ⓘ employment disputes in the securities industry ⓘ securities industry disputes ⓘ
updatedBy	FINRA rulemaking process ⓘ

How these facts were elicited