The Securities Arbitration Process

Conclusion

Remember that you should carefully read the arbitration rules of the sponsoring organization you have selected. This information is not a substitute for those rules. If you have any questions regarding arbitration procedures or want a copy of those rules, contact the Director of Arbitration of the sponsoring organization.

About this Information
This information has been prepared by the Securities Industry Conference on Arbitration (SICA), a group composed of representatives of various self-regulatory organizations, the Securities Industry Association, and public members. SICA established a uniform system for the resolution of disputes involving investors and broker/dealers, which has been adopted by each of the self-regulatory organizations.
Arbitration Procedures
  • Arbitration Procedures
  • What Is Arbitration?
  • What Disputes Are Eligible for Arbitration?
  • Who Are the Arbitrators?
  • Can I Be Represented by an Attorney?
  • How is Arbitration Begun?
  • What Happens After the Claim is Filed?
  • Appointment of Arbitrators
  • Can I Challenge an Arbitrator?
  • What Are Challenges for Cause?
  • How Do I Prepare for a Hearing?
  • How Are the Hearings Conducted?
  • How Are the Parties Notified of Decisions?
  • Conclusion

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